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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 2020-02-24
NC RA APPROVED 2008-04-16
  • TX RA
    APPROVED
    Since 2020-02-24
  • NC RA
    APPROVED
    Since 2008-04-16

Branch Locations

Wendell, NC • United States

4350 Congress Street Suite 300, Charlotte, NC 28209 • United States

4000 Westchase Blvd Suite 400, Raleigh, NC 27607 • 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 Life Insurance Co Charlotte NC 06/1989 Present
Mml Investors Services, Llc Charlotte NC 08/1989 Present
Mutual Group Benefits Charlotte NC 01/2007 Present
  • 06/1989 → Present
    Massmutual Life Insurance Co
    Charlotte, NC
  • 08/1989 → Present
    Charlotte, NC
  • 01/2007 → Present
    Mutual Group Benefits
    Charlotte, NC
Other Businesses

(1) NAME: MUTUAL GROUP BENEFITS LLC INV REL: Y ADD: 4350 CONGRESS STREET, SUITE 300, CHARLOTTE, NC 28209 NATURE: GROUP LIFE/HEALTH POSITION: OWNER START DATE: 1/1/2013 NO HRS/MO: 2 NO HRS/MO TRAD TIME: 2. (2) NAME: FLANAGAN HOLDINGS, LCC INV REL: Y ADD: 608 BELLE MEADE CT, WAXHAW, NC 28173 NATURE: SIMPLE RENTAL PROPERTY POSITION: OWNER START DATE: 5/1/2016 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 0. (3) NAME: HFWC, LLC INV REL: Y ADD: 1015 ASHES DRIVE, SUITE 200, WILMINGTON, NC 28405 NATURE: REAL ESTATE POSITION: OWNER START DATE: 5/1/2016 NO HRS/MO: 4 NO HRS/MO TRADING TIME: 4. (4) NAME: FLANAGAN FINANCIAL GROUP LLC INV REL: Y ADD: 4350 CONGRESS ST., SUITE 300, CHARLOTTE NC, 28217 NATURE: BUSINESS ENTITY FOR AGENCY POSITION: CEO START DATE: 09/08/2008 NO. HR/MO: 160 NO. HR/MO DURING SEC TRADING: 160 DUTIES: THIS IS THE BUSINESS ENTITY IN WHICH THE AGENCY, THE PELORA GROUP, OPERATES UNDER. (5) NAME: FLANAGAN ASSET MANAGEMENT, LLC INV REL: Y ADD: RESIDENTIAL NATURE: HOLDING COMPANY FOR INVESTMENT ACCOUNTS POSITION: OWNER START DATE: 04/22/2016 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 0 DUTIES: HOLDING COMPANY FOR PERSONAL INVESTMENTS, SET UP FOR ASSET PROTECTION. (6) NAME: FLANAGAN PROPERTIES, LLC INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: REAL ESTATE INVESTMENTS POSITION: OWNER START DATE: 02/02/2016 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 DUTIES: MANAGED BY WIFE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-07-11
S63 Uniform Securities Agent State Law Examination 1989-10-18
  • S65 Uniform Investment Adviser Law Examination
    1994-07-11
  • S63 Uniform Securities Agent State Law Examination
    1989-10-18
Designations

View on SEC IAPD

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