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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-06-12
PA RA APPROVED 2010-06-25
  • TX RA
    APPROVED
    Since 2024-06-12
  • PA RA
    APPROVED
    Since 2010-06-25

Branch Locations

111 East Uwchlan Ave, Exton, PA 19341 • United States

Sugar Land, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massmutual Springfield MA 12/1998 Present
Mml Investors Services, Inc. Exton PA 01/1999 Present
  • 12/1998 → Present
    Massmutual
    Springfield, MA
  • 01/1999 → Present
    Mml Investors Services, Inc.
    Exton, PA
Other Businesses

1)NAME: EDWARD A. WOOD, JR. INV REL: Y ADD: 728 CREEK ROAD, KENNETT SQUARE, PA 19348 NATURE: NONMMLIA INSURANCE BROKERAGE POSITION: AGENT START DATE: 03/2000 NO. HR/MO: 2-4 NO. HR/MO DURING SEC TRADING: 2-4 DESCRIBE DUTIES: GROUP LIFE GROUP HEALTH GROUP DISABILITY INCOME INSURANCE. 2) NAME: DOAL ENTERPRISES, INC. INV REL: N ADD: 318 FOX BRIAR LANE, SUGAR LAND, TX 77478 NATURE: BOARD SERVICE- SALES OF OIL FIELD TUBULAR PRODUCTS POSITION: START DATE: 1979 NO. HR/MO: 6-10 NO. HR/MO DURING SEC TRADING: 4-8 DESCRIBE DUTIES: ESSENTIALLY MY BOARD SERVICE IS A VERY LIMITED ACTIVITY FOR WHICH THERE IS NO COMPENSATION; HOWEVER, I OCCASIONALLY RECEIVE COMPENSATION FOR ASSISTANCE I PROVIDE WITH REGARD TO FILE MANAGEMENT AND OFFICE ORGANIZATION. TO DATE, THERE HAS NOT BEEN ANY COMPENSATION FOR ASSISTANCE PROVIDED IN PRODUCT PRICING AND BUSINESS PROCESSES (SUCH AS BOOKKEEPING AND RECORDS MANAGEMENT), THOUGH THIS MAY OCCUR IN THE FUTURE. SUCH COMPENSATION MAY THEN BE IN THE FORM OF A "COMMISSION" OR PARTICIPATION PERCENTAGE. 3) NAME: UFG ADVISORS, LLC DBA UFG ADVISORS INV REL: Y ADD: 111 EAST UWCHLAN AVE, EXTON, PA 19341 NATURE: FINANCIAL SERVIES POSITION: VICE PRESIDENT START DATE: 05/02/2024 NO. HR/MO: 3 NO. HR/MO DURING SEC TRADING: 3 DESCRIBE DUTIES: EXPENSES RELATED TO THE DBA, SUCCESSION PLAN FOR UFG ADVISORS TEAM

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-22
S63 Uniform Securities Agent State Law Examination 1999-04-01
  • S65 Uniform Investment Adviser Law Examination
    1999-12-22
  • S63 Uniform Securities Agent State Law Examination
    1999-04-01
Designations
Other Names
  • Edward Allan Jr Wood

View on SEC IAPD

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