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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2026-02-03 |
Branch Locations
Aliso Viejo, CA • United States
444 S. Flower Street Suite 4200, Los Angeles, CA 90071 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| R2 Ventures Llc | Boise | ID | 11/2021 | 07/2024 |
| Endologix | Irvine | CA | 03/2021 | 10/2021 |
| Synaptic Medical Inc | Carlsbad | CA | 11/2019 | 08/2020 |
| Asahi Intecc | Irvine | CA | 11/2011 | 10/2019 |
| Unemployed | Aliso Viejo | CA | 08/2020 | 03/2021 |
| Northwestern Mutual Life Insurance Company | Milwaukee | WI | 07/2024 | 11/2025 |
| Northwestern Mutual Investment Services Llc | Irvine | CA | 08/2024 | 11/2025 |
| Northwestern Mutual Wealth Management Company | Milwaukee | WI | 01/2025 | 11/2025 |
| Mml Investors Services, Llc | Los Angeles | CA | 01/2026 | Present |
| Massmutual Life Insurance Company | Los Angeles | CA | 12/2025 | Present |
| Lenox Advisors | Los Angeles | CA | 12/2025 | Present |
NAME: ROBERT RICKER / LENOX ADVISORS, INV REL: Y, ADD: 444 S. FLOWER ST, SUITE 4200, LOS ANGELES, CA, 90071, NATURE: OUTSIDE INSURANCE SALES, POSITION: INSURANCE BROKER, START DATE: 01/02/2026, NO. HR/MO: 10, NO. HR/MO DURING SEC TRADING: 5, DUTIES: LIFE, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES & HEALTH
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-01-16 |
| S63 | Uniform Securities Agent State Law Examination | 2024-12-18 |
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