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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2024-06-12 |
| PA | RA | APPROVED | 2010-06-25 |
Branch Locations
111 East Uwchlan Ave, Exton, PA 19341 • United States
Sugar Land, TX • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual | Springfield | MA | 12/1998 | Present |
| Mml Investors Services, Inc. | Exton | PA | 01/1999 | Present |
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
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-12-22 |
| S63 | Uniform Securities Agent State Law Examination | 1999-04-01 |
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