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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AL | RA | APPROVED | 2025-06-20 |
Branch Locations
1143 1St Ave S Suite 107, Birmingham, AL 35233 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Birmingham | AL | 07/2017 | 10/2024 |
| Chiprewards | Birmingham | AL | 03/2013 | 07/2017 |
| Private Client Services, Llc | Birmingham | AL | 10/2024 | 03/2025 |
| Rfg Advisory, Llc | Vestavia Hills | AL | 10/2024 | 03/2025 |
| Massmutual Life Insurance Co | Birmingham | AL | 06/2025 | Present |
| Mml Investors Services, Llc | Birmingham | AL | 06/2025 | Present |
(1) NAME: Caitlin Gossett, INV REL: N, ADD: 1143 1st Ave S., Suite 107, Birmingham, AL 35233, NATURE: Part-time client service work, POSITION: Pass Program, START DATE: 04/06/2026, NO. HR/MO: 80, NO. HR/MO DURING SEC TRADING: 80, DUTIES: Clerical work for fellow advisors (2) NAME: BIRMINGHAM ZOO JUNIOR BOARD, INV REL: N, ADD: 2630 CAHABA ROAD, BIRMINGHAM, AL 35223, NATURE: FUNDRAISING JR BOARD, POSITION: BOARD MEMBER, START DATE: 08/01/2026, NO. HR/MO: 2, NO. HR/MO DURING SEC TRADING: 0, DUTIES: SECURE FINANCIAL SUPPORT FOR ZOO IMPROVEMENTS AND TO BUILD ANIMAL HABITATS
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2024-05-22 |
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