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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
AZ RA APPROVED 2024-06-03
TX RA APPROVED 2023-09-26
IL RA APPROVED 2023-09-18
  • AZ RA
    APPROVED
    Since 2024-06-03
  • TX RA
    APPROVED
    Since 2023-09-26
  • IL RA
    APPROVED
    Since 2023-09-18

Branch Locations

704 Florsheim Drive Suite 13, Libertyville, IL 60048 • United States

Phoenix, AZ • 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
Thrivent Investment Management Inc. Libertyville IL 07/2002 09/2023
Thrivent Financial For Lutherans Appleton WI 07/2002 09/2023
Mml Investors Services, Llc Libertyville IL 09/2023 Present
Massmutual Life Insurance Co Libertyville IL 09/2023 Present
Previous Registrations
  • 2002-08-05 → 2023-09-18
    Libertyville, IL
    Libertyville, IL
    Phoenix, AZ
  • 2001-03-26 → 2002-08-05
    Lutheran Brotherhood Securities Corp.
    Libertyville, IL
Other Businesses

(1)NAME: KIRBY PROPERTIES LLC INV REL: Y ADD: 704 FLORSHEIM DRIVE, LIBERTYVILLE IL 60048 NATURE: REALTOR/REAL ESTATE POSITION: PRESIDENT START DATE: 12/1/2011 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 0 DESCRIBE DUTIES: OWNERSHIP OF MY PROFESSIONAL PRACTICE OFFICE CONDO.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-29
S63 Uniform Securities Agent State Law Examination 1991-08-05
  • S65 Uniform Investment Adviser Law Examination
    1999-12-29
  • S63 Uniform Securities Agent State Law Examination
    1991-08-05
Designations
Other Names
  • Don Swanson

View on SEC IAPD

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