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1927 First Avenue North, Birmingham, AL 35203 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| SC | RA | APPROVED | 2026-07-14 |
| UT | RA | APPROVED | 2026-01-12 |
| GA | RA | APPROVED | 2025-01-03 |
| CT | RA | APPROVED | 2024-08-20 |
| NC | RA | APPROVED | 2023-02-01 |
| CO | RA | APPROVED | 2023-01-31 |
| TX | RA | APPROVED_RES | 2023-01-31 |
| WA | RA | APPROVED | 2023-01-31 |
| DE | RA | APPROVED | 2023-01-12 |
| NY | RA | APPROVED | 2023-01-10 |
| PA | RA | APPROVED | 2022-04-14 |
| AZ | RA | APPROVED | 2019-02-13 |
| NJ | RA | APPROVED | 2019-01-03 |
| IL | RA | APPROVED | 2018-05-08 |
| MA | RA | APPROVED | 2018-04-10 |
| VA | RA | APPROVED | 2018-03-29 |
| MD | RA | APPROVED | 2017-02-14 |
| CA | RA | APPROVED | 2017-02-13 |
| FL | RA | APPROVED | 2015-08-03 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Nbc Securities, Inc. | Massapequa | NY | 07/2015 | Present |
MLS ASSET MANAGEMENT.2270 WYNNE LANE, BELLMORE,NY OWNER, SET UP FOR BILL PAYING. 1HR PER MONTH. SEEKING ALPHA 1810 Gateway Drive Suite 260 San Mateo CA, 94404 United States Email: account@seekingalpha.com On occasion I write articles for Seeking Alpha on general investment topics which have been approved by firm compliance Author/Blogger 07/27/2016 Up to 4 hours 0 HRS DURING TRADING INVESTMENT RELATED I compose articles for a compliance approved general investment blog SUPERVISOR: Joseph Oberschewen Mass Mutual 1295 State Street Springfield MA 01111 Insurance Sales Agent 04/18/2018 0-1 0-1 No Occasionally writing fixed life insurance business. Servicing existing client policies. This OBA was approved by Douglas Elder. WELLSEN ENTITY EXISTING FOR THE PURPOSE OF OWNERSHIP OF THE BUILDING WHERE BRANCH OFFICE IS LOCATED. NO DUTIES OR ACTIVITIES ASSOCIATED WITH THIS ENTITY.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-03-03 |
| S63 | Uniform Securities Agent State Law Examination | 1999-07-23 |
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