MML INVESTORS SERVICES, LLC

Size: px
Start display at page:

Download "MML INVESTORS SERVICES, LLC"

Transcription

1 Firm: MML INVESTORS SERVICES, LLC MML INVESTORS SERVICES, LLC Asset Manager Founded in Hidden Hidden Hidden Hidden Mml Investors Services, Llc Headcount: Hidden Assets Under Management: Hidden While Mml Investors Services, Llc is licensed to operate in 49 states and the District of Columbia, licenses for individual advisors may vary. USNews November 2, 2013 inappropriate or irrelevant content Bringing the Orphan Client in from the Cold The orphan client can be at risk without the guidance of... representative of and offers securities and investment advisory services through MML Investors Services LLC., Member SIPC. One Union Square, Suite 300, Reunion Place, San Antonio, Texas... Life Health Pro January 18, 2012 inappropriate or irrelevant content MassMutual Appoints Brad Hoffman Senior Vice President, Enterprise Risk and Actuarial MML Investors Services, LLC, Member FINRA and SIPC; OppenheimerFunds, Inc.; and The MassMutual Trust Company, FSB. For more information, visit or find MassMutual on Facebook, Twitter, LinkedIn, YouTube, Google+ and Pinterest. New Jersey Online May 26, 2015 inappropriate or irrelevant content

2 MassMutual Names Dominic Blue Senior Vice President And Deputy General Counsel June 11, 2015 /PRNewswire/ --Massachusetts Mutual Life Insurance Company (MassMutual) has appointed Dominic Blue, Senior Vice President and Deputy General Counsel... MassMutual International LLC; MML Investors Services, LLC, Member FINRA and SIPC... IT Business Net June 11, 2015 inappropriate or irrelevant content MassMutual Partners with Univision to Expand Its Commitment to the Hispanic Community Baring Asset Management Limited; Cornerstone Real Estate Advisers LLC; The First Mercantile Trust Company; MassMutual International LLC; MML Investors Services, LLC, Member FINRA and SIPC; OppenheimerFunds, Inc.; and The MassMutual Trust Company, FSB. StreetInsider June 12, 2015 inappropriate or irrelevant content Survey Shows Hispanics Need Boost In Retirement Planning Knowledge MML Investors Services, LLC, Member FINRA and SIPC; OppenheimerFunds, Inc.; and The MassMutual Trust Company, FSB. 1 Source: Social Security Administration, Social Security Handbook, Evidence of U.S. Citizenship, Section 1725; Insurance News Net June 15, 2015 inappropriate or irrelevant content Wells Fargo to Expand Social Media Pilot Wells Fargo & Co.'s (WFC) brokerage business wants to become more social. After about eight months of limited tweeting without major compliance slip ups, the bank wants more of its financial advisers to send more messages more freely, possibly through more...

3 Wall Street Journal September 17, 2013 inappropriate or irrelevant content Greg Cohn Awarded MassMutual's Gold Bowl for Top Sales Manager Nationwide Securities, investment advisory and financial planning services offered through qualified registered representatives of MML Investors Services, LLC. Local sales agencies are not subsidiaries of MassMutual or its affiliated companies. Agency officers are... Yahoo Finance May 20, 2014 inappropriate or irrelevant content MassMutual San Francisco Recognized as 2015 Bay Area Best Places to Work MassMutual is headquartered in Springfield, Massachusetts and its major affiliates include: Babson Capital Management LLC; Baring Asset Management Limited; Cornerstone Real Estate Advisers LLC; The First Mercantile Trust Company; MassMutual International... marketwired.com April 20, 2015 inappropriate or irrelevant content MASSMUTUAL NORTHERN NEW ENGLAND MOVES TO NEW LOCATION IN BEDFORD, LOOKS TO EXPAND BEDFORD, NH, February 24, 2014 MassMutual Northern New England moved its operations to newly renovated... MassMutual International LLC; MML Investors Services, LLC, Member FINRA and SIPC. Patch February 23, 2014 inappropriate or irrelevant content MassMutual Names Elizabeth Ward Chief Actuary MassMutual is headquartered in Springfield, Massachusetts and its major affiliates include: Babson

4 Capital Management LLC; Baring Asset Management Limited; Cornerstone Real Estate Advisers LLC; The First Mercantile Trust Company; MassMutual International... The Business Journal May 18, 2015 inappropriate or irrelevant content MassMutual : Donates $155,000 To Non-profit Organizations On Behalf Of Financial Professionals Baring Asset Management Limited; Cornerstone Real Estate Advisers LLC; The First Mercantile Trust Company; MassMutual International LLC; MML Investors Services, LLC, Member FINRA and SIPC; OppenheimerFunds, Inc.; and The MassMutual Trust Company, FSB. 4 Traders June 23, 2015 inappropriate or irrelevant content Introducing Sarah Bernard, Pop Culture Diva, To Help Answer Your Retirement Savings Questions MML Investors Services, LLC, Member FINRA and SIPC; OppenheimerFunds, Inc.; and The MassMutual Trust Company, FSB. For more information, visit or find MassMutual on Facebook, Twitter, LinkedIn, YouTube, Google+ and Pinterest. For... Market Watch June 29, 2015 inappropriate or irrelevant content MassMutual Names Dominic Blue Senior Vice President And Deputy General Counsel SPRINGFIELD, Mass., June 11, 2015 /PRNewswire/ -- Massachusetts Mutual Life Insurance Company (MassMutual) has appointed Dominic Blue, Senior Vice President and Deputy General Counsel, effective immediately. Blue, based at MassMutual's Springfield... Financial Content June 11, 2015 inappropriate or irrelevant content

5 The 2015 Broker-Dealers Reference Guide Over the 35-year history of Investment Advisor, the brokerage industry has seen monumental changes. In the independent BD world, those changes, while significant, have been better handled than in the wirehouses. That's because independents have needed to... Think Advisor May 31, 2015 inappropriate or irrelevant content Business notebook: Facebook hits milestone of 1 billion served Financial professional relocates office J.P. Thompson of MML Investors Services LLC has expanded and moved to 1353 N. Mount Auburn Road, Suite A, in Cape Girardeau, according to a news release. Thompson is a licensed financial broker-dealer. The financial... Southeast Missourian August 31, 2015 inappropriate or irrelevant content 4 ways to become more efficient He is a Registered Representative and an Investment Advisor Representative with MML Investors Services, LLC. Jeff has earned several designations including Chartered Life Underwriter, Certified Family Business Specialist, Accredited Estate Planner and... Life Health Pro August 28, 2015 inappropriate or irrelevant content Charter Oak Insurance and Financial Services Co. Expands Professional Teams Securities, investment advisory and financial planning services offered through qualified registered representatives of MML Investors Services LLC, Member SIPC ( Supervisory Office: 330 Whitney Avenue, Suite 600; Holyoke, MA Hartford Courant November 9, 2012

6 inappropriate or irrelevant content MML INVESTORS SERVICES, LLC 1:40PM ET - GlobeNewswire Clorox to Open Board Nominations to Certain Shareholders 7:45PM ET - Dow Jones Business News Clorox to Open Board Nominations to Certain Shareholders 7:45PM ET - Dow Jones Business News P&G Cuts CEO Lafley''s Bonus After Earnings... NASDAQ June 29, 2015 inappropriate or irrelevant content First Bank Financial Centre: Todd Sivak earns top award Todd Sivak is a registered representative of and offers securities, investment advisory, and financial planning services through MML Investors Services, LLC. Member SIPC 525 Junction Road, Suite 8100 North, Madison, WI (608) MassMutual... Wis Business March 10, 2015 inappropriate or irrelevant content Elaine A. Sarsynski Currently, Ms. Sarsynski is a director of the following MassMutual subsidiaries: HYP Management LLC, MassMutual Assignment Company, MassMutual Europe, S.A., MassMutual International LLC, MMHC Investment LLC, MML Investors Services, LLC, MassMutual Asia... Financial Planning August 26, 2015 inappropriate or irrelevant content New MassMutual Study Finds Business Owners Lack Confidence in Planning Skills for the Long-Term SPRINGFIELD, Mass., Aug. 31, 2015 /PRNewswire/ -- While business owners work to sustain their operations, few report making the necessary arrangements to protect their businesses for the longterm, according to a new study by Massachusetts Mutual Life...

7 The Business Journal August 30, 2015 inappropriate or irrelevant content MassMutual Awards $155,000 In Scholarships To Students Across The Country SPRINGFIELD, Mass., July 28, 2015 /PRNewswire/ -- Massachusetts Mutual Life Insurance Company (MassMutual) has awarded $155,000 in college scholarships to students across the country. The MassMutual Scholars program is a national scholarship program for... New Jersey Online July 28, 2015 inappropriate or irrelevant content Actor Hill Harper and MassMutual Launch Campaign to Help Americans Discover their Roots, Plan their Futures MassMutual is headquartered in Springfield, Massachusetts and its major affiliates include: Babson Capital Management LLC; Baring Asset Management Limited; Cornerstone Real Estate Advisers LLC; The First Mercantile Trust Company; MassMutual International... Electronic Urban February 25, 2015 inappropriate or irrelevant content No news for MML INVESTORS SERVICES, LLC right now. Check back soon! Powered by DISCLAIMERS

Northside Capital Management

Northside Capital Management Firm: Northside Capital Management Northside Capital Management Evaluator Founded in Hidden Hidden Hidden Hidden The 25 Best Ski Racers On Wall Street Headcount: Hidden Assets Under Management: Hidden

More information

Candidate Profile Form District Committee Election Joel Glasco

Candidate Profile Form District Committee Election Joel Glasco Candidate Profile Form District Committee Election Joel Glasco Candidate Name: Title: Managing Director - Market Manager Firm: Wells Fargo Adviso Candidate Biography and Personal Statement Candidate Biography

More information

Understanding the Basics of the Examination Process (B2BC) Tuesday, May 16 11:15 a.m. 12:15 p.m.

Understanding the Basics of the Examination Process (B2BC) Tuesday, May 16 11:15 a.m. 12:15 p.m. Understanding the Basics of the Examination Process (B2BC) Tuesday, May 16 11:15 a.m. 12:15 p.m. This Back to Basics Compliance session focuses on what you can expect during a FINRA cycle examination.

More information

The Terhune Group at Morgan Stanley Smith Barney

The Terhune Group at Morgan Stanley Smith Barney The Terhune Group at Morgan Stanley Smith Barney 1101 FIFTH AVENUE SAN RAFAEL, CA 94901 415-451-1400 / MAIN 800-505-1220 / TOLL-FREE 415-532-1981 / FAX www.morganstanley.com/fa/jerold. terhune jerold.terhune@mssb.com

More information

BAIRD S INTERNSHIP PROGRAM Start in Good Company

BAIRD S INTERNSHIP PROGRAM Start in Good Company BAIRD S INTERNSHIP PROGRAM Start in Good Company Start here. Baird s Internship Program is designed to foster skills that help prepare interns for success. In addition to a mentoring program, which allows

More information

BAIRD S INTERNSHIP PROGRAM. Start in Good Company

BAIRD S INTERNSHIP PROGRAM. Start in Good Company BAIRD S INTERNSHIP PROGRAM Start in Good Company Start here. Baird s Internship Program is designed to foster skills that help prepare interns for success. In addition to a mentoring program, which allows

More information

Lessons Learned by Experienced CEOs of Broker-Dealers Thursday, November 12 10:15 a.m. 11:15 a.m.

Lessons Learned by Experienced CEOs of Broker-Dealers Thursday, November 12 10:15 a.m. 11:15 a.m. Lessons Learned by Experienced CEOs of Broker-Dealers Thursday, November 12 10:15 a.m. 11:15 a.m. During this session, FINRA moderates a discussion with seasoned small firm business owners about the common

More information

LISA ROTH MONAHAN & ROTH, LLC 630 FIRST AVENUE SAN DIEGO, CA 92101

LISA ROTH MONAHAN & ROTH, LLC 630 FIRST AVENUE SAN DIEGO, CA 92101 LISA ROTH MONAHAN & ROTH, LLC 630 FIRST AVENUE SAN DIEGO, CA 92101 BACKGROUND Lisa Roth is the of Monahan & Roth, LLC, a regulatory compliance company providing services including professional consultations,

More information

Rebecca L. Burke VICE PRESIDENT, NATIONAL ETF SALES

Rebecca L. Burke VICE PRESIDENT, NATIONAL ETF SALES Rebecca L. Burke VICE PRESIDENT, NATIONAL ETF SALES Rebecca L. Burke joined American Beacon Advisors in November 2016 as a vice president, National ETF Sales. Ms. Burke works in partnership with the American

More information

The Nolan Group at Morgan Stanley Smith Barney

The Nolan Group at Morgan Stanley Smith Barney The Nolan Group at Morgan Stanley Smith Barney 125 High St., Floor 24 Boston, MA 02110 617-478-6403 / MAIN 617-249-0308 / FAX http://fa.morganstanleyindividual.c om/thenolangroup/ leonard.nolan@mssb.com

More information

The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit Monday, May 21 3:00 p.m. 4:00 p.m.

The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit Monday, May 21 3:00 p.m. 4:00 p.m. The Three Lines of Defense: Risk Management Supervision, Compliance and Internal Audit Monday, May 21 3:00 p.m. 4:00 p.m. Compliance and business supervision roles are becoming difficult to differentiate.

More information

Dean A. Connor. President & Chief Executive Officer, Sun Life Financial

Dean A. Connor. President & Chief Executive Officer, Sun Life Financial Dean A. Connor President & Chief Executive Officer, Sun Life Financial Dean A. Connor was appointed President & Chief Executive Officer, Sun Life Financial on December 1, 2011, and is a member of the company

More information

Outside Business Activities Reviews, Approval and Monitoring Wednesday, November 11 3:30 p.m. 4:30 p.m.

Outside Business Activities Reviews, Approval and Monitoring Wednesday, November 11 3:30 p.m. 4:30 p.m. Outside Business Activities Reviews, Approval and Monitoring Wednesday, November 11 3:30 p.m. 4:30 p.m. Join industry practitioners and FINRA staff as they cover the key requirements of the outside business

More information

Huffman - Weber Group at Morgan Stanley Smith Barney. Success on your Terms Personalized Financial Strategies

Huffman - Weber Group at Morgan Stanley Smith Barney. Success on your Terms Personalized Financial Strategies Huffman - Weber Group at Morgan Stanley Smith Barney Success on your Terms Personalized Financial Strategies 700 Corporate Park Drive Suite 500, Clayton, MO 63105 314-889-9802 / MAIN 866-646-4644 / TOLL-FREE

More information

Steve Hamilton, J.D., CLU, ChFC Director, Advanced Consulting Group Nationwide

Steve Hamilton, J.D., CLU, ChFC Director, Advanced Consulting Group Nationwide Steve Hamilton, J.D., CLU, ChFC Director, Advanced Consulting Group Nationwide Email: hamils25@nationwide.com Direct: 614.249.0935 Steve has over 30 years of experience in the financial services industry.

More information

Massachusetts Mutual Life Insurance Company Proxy Statement

Massachusetts Mutual Life Insurance Company Proxy Statement Massachusetts Mutual Life Insurance Company 2012 Proxy Statement To Our Members: February 2012 As an eligible member, you have a vote in Massachusetts Mutual Life Insurance Company s annual election of

More information

The Garemani Group at Morgan Stanley Smith Barney

The Garemani Group at Morgan Stanley Smith Barney The Garemani Group at Morgan Stanley Smith Barney 2121 Avenue of the Stars Suite 1200, Los Angeles, California 90067 310-551-9433 / Main 310-556-1870 / fax www.fa.smithbarney.com/garemanigroup/ The Garemani

More information

Headcount: Hidden Founded in Hidden. Assets Under Management: Hidden Hidden Hidden Hidden Grassi & Co. Welcomes Anthony Tomaro as an Audit Partner

Headcount: Hidden Founded in Hidden. Assets Under Management: Hidden Hidden Hidden Hidden Grassi & Co. Welcomes Anthony Tomaro as an Audit Partner Firm: Grassi & Co. Grassi & Co. Service Provider Headcount: Hidden Founded in Hidden Assets Under Management: Hidden Hidden Hidden Hidden Grassi & Co. Welcomes Anthony Tomaro as an Audit Partner Grassi

More information

The Wood Group at Morgan Stanley. Understanding Your Vision, Earning Your Trust

The Wood Group at Morgan Stanley. Understanding Your Vision, Earning Your Trust The Wood Group at Morgan Stanley Understanding Your Vision, Earning Your Trust WHY THE WOOD GROUP The Culture of Family is in Our DNA Our Team was formed to provide our Clients and their Families with

More information

SPEAKERS A S H A B A N G A L O R E

SPEAKERS A S H A B A N G A L O R E SPEAKERS ASHA BANGALORE Vice President Economist Asha has been an economist with Northern Trust since 1994. Prior to joining Northern Trust, she was a consultant to savings and loan institutions and commercial

More information

Candidate Profile Form District Committee Election Kelly Anderson

Candidate Profile Form District Committee Election Kelly Anderson Kelly Anderson Compliance Director RBC Capital Marke Kelly Anderson is Compliance Director at RBC Wealth Management, a division of RBC Capital Markets, LLC. Since 2004 she has been responsible for the

More information

Supervision of Outside Business Activities (OBAs) and Private Securities Transactions Wednesday, November 9 3:30 p.m. 4:30 p.m.

Supervision of Outside Business Activities (OBAs) and Private Securities Transactions Wednesday, November 9 3:30 p.m. 4:30 p.m. Supervision of Outside Business Activities (OBAs) and Private Securities Transactions Wednesday, November 9 3:30 p.m. 4:30 p.m. Outside business activities (OBAs) and private securities transactions (PSTs)

More information

First Southern Securities, LLC Credentials

First Southern Securities, LLC Credentials First Southern Securities, LLC Credentials Table of Contents SECTION A SECTION B SECTION C SECTION D Overview of First Southern Securities, LLC......3 Services Offered...6 Trading Volume by Credit 1. Municipal...11

More information

Dai-ichi Life Announces Changes to Directors as of October 1, 2016

Dai-ichi Life Announces Changes to Directors as of October 1, 2016 [Unofficial Translation] May 13, 2016 Koichiro Watanabe President and Representative Code: 8750 (TSE First section) Dai-ichi Life Announces Changes to s as of October 1, 2016 (the Company ; President:

More information

HEITMAN CAPITAL MANAGEMENT LLC

HEITMAN CAPITAL MANAGEMENT LLC Firm: HEITMAN CAPITAL MANAGEMENT LLC HEITMAN CAPITAL MANAGEMENT LLC Asset Manager Founded in Hidden Hidden Hidden Hidden Beach Co. sells The Boulevard for $66.5M Headcount: Hidden Assets Under Management:

More information

The Kaser Mechling Group at Morgan Stanley Smith Barney

The Kaser Mechling Group at Morgan Stanley Smith Barney The Kaser Mechling Group at Morgan Stanley Smith Barney 7311 Crossleigh Court Suite 106, Toledo, OH 43617 419-842-6557 / MAIN 877-834-3669 / TOLL-FREE 419-754-2507 / FAX www.morganstanley.com/fa/theka

More information

The Fortress Group at Morgan Stanley

The Fortress Group at Morgan Stanley The Fortress Group at Morgan Stanley 1 Penn Plaza 43rd Floor, New York, NY 10119 212-643-5781 / Main 800-223-4565 / Toll-Free 212-714-2546 / fax www.morganstanleyfa.com/thefortressgroup lane.h.katz@ms.com

More information

Our Mission. About Morgan Stanley Wealth Management

Our Mission. About Morgan Stanley Wealth Management Our Mission Our Approach About Morgan Stanley Wealth Management As an affluent investor, you seek greater simplicity, customized strategies and a high level of service. As your committed financial advisors,

More information

Election Notice. Notice of Election and Ballots for FINRA Small Firm NAC Member Seat. October 16, Ballots Due: November 15, 2018

Election Notice. Notice of Election and Ballots for FINRA Small Firm NAC Member Seat. October 16, Ballots Due: November 15, 2018 Election Notice Notice of Election and Ballots for FINRA Small Firm NAC Member Seat Ballots Due: November 15, 2018 October 16, 2018 Suggested Routing Executive Representatives Senior Management Executive

More information

Membership Application Program (MAP) Wednesday, May 23 9:45 a.m. 10:45 a.m.

Membership Application Program (MAP) Wednesday, May 23 9:45 a.m. 10:45 a.m. Membership Application Program (MAP) Wednesday, May 23 9:45 a.m. 10:45 a.m. Attend this session to learn about FINRA s Membership Application Program (MAP). Discussions include an overview of the application

More information

2 Theatre Square, Ste 322 Orinda, CA Toll free Fax Morgan Stanley Smith Barney LLC, Member SIPC

2 Theatre Square, Ste 322 Orinda, CA Toll free Fax Morgan Stanley Smith Barney LLC, Member SIPC The Gross Turner Beaumont Group at Morgan Stanley Smith Barney Stephen Gross, Senior Vice President and Financial Advisor David Turner III, Senior Vice President and Financial Advisor Rick Beaumont, CFP,

More information

2018 Proxy Statement

2018 Proxy Statement 2018 Proxy Statement FEBRUARY 2018 To Our Members: The Annual Meeting of Members of Massachusetts Mutual Life Insurance Company will be held on Wednesday, April 11, 2018, at our home office in Springfield,

More information

261 Gorham Road South Portland, ME Company Profile

261 Gorham Road South Portland, ME Company Profile Company Profile Preservation Management, Inc. (PMI) has been providing comprehensive residential and commercial property management services since 1990. Over the last two decades PMI has grown to manage

More information

The Greenspan Group at Morgan Stanley Smith Barney

The Greenspan Group at Morgan Stanley Smith Barney The Greenspan Group at Morgan Stanley Smith Barney 7500 Old Georgetown Road 10th Floor, Bethesda, Maryland 20814 301-961-2640 / Main 800-745-4503 x2640 / Toll-Free 240-235-4448 / fax ira.greenspan@mssb.com

More information

The Stack-Gravenstine-Smith Group at Morgan Stanley Smith Barney

The Stack-Gravenstine-Smith Group at Morgan Stanley Smith Barney The Stack-Gravenstine-Smith Group at Morgan Stanley Smith Barney 330 Fellowship Road Suite 400, Mount Laurel, New Jersey 08054 800-596-5668 / toll-free 856-273-6407 / fax www.fa.smithbarney.com/stackgravenstinesmith

More information

The Margolin/ Worth Group at Morgan Stanley Smith Barney

The Margolin/ Worth Group at Morgan Stanley Smith Barney The Margolin/ Worth Group at Morgan Stanley Smith Barney 140 East Ridgewood Avenue 3rd Floor, North Tower, Paramus, New Jersey 07652 201-967-3300 / Main 800-631-1607 / Toll-Free 201-967-8328 / fax fa.smithbarney.com/

More information

The Fordham Group at Morgan Stanley Smith Barney

The Fordham Group at Morgan Stanley Smith Barney The Fordham Group at Morgan Stanley Smith Barney The Fordham Group at Morgan Stanley Smith Barney 100 Europa Drive Suite 201, Chapel Hill, North Carolina 27517 919-960-5470 / Main 866-838-1467 / Toll-Free

More information

AGIA Insurance Services, Vice President, Marketing AIG, Assistant Vice President Allegiant Partners, Global Head of Digital Marketing, Personal

AGIA Insurance Services, Vice President, Marketing AIG, Assistant Vice President Allegiant Partners, Global Head of Digital Marketing, Personal Past Attendees AGIA Insurance Services, Vice President, Marketing AIG, Assistant Vice President Allegiant Partners, Global Head of Digital Marketing, Personal Insurance Allegiant Partners Inc., VP, Marketing

More information

Keith Simons. Wealth Advisor First Vice President Portfolio Manager

Keith Simons. Wealth Advisor First Vice President Portfolio Manager Keith Simons Wealth Advisor First Vice President Portfolio Manager 150 JFK Parkway Short Hills, New Jersey 07078 973-921-6521 / Main 973-860-1336 / fax keith.simons@mssb.com www.morganstanley.com/fa/keith.simons

More information

Form ADV Part 2B. Brochure Supplement. James B. Lebenthal. 521 Fifth Ave., 15 th Floor. New York, NY

Form ADV Part 2B. Brochure Supplement. James B. Lebenthal. 521 Fifth Ave., 15 th Floor. New York, NY Form ADV Part 2B Brochure Supplement Alexandra Lebenthal 212 490 1682 James B. Lebenthal 212 490 1947 Michelle M. Smith 212 697 3689 John B. Carey 212 490 1970 Gregory W. Serbe 212 697 3659 Corinne Smith

More information

Harp Dhillon Group Private Wealth Managers of RBC Dominion Securities

Harp Dhillon Group Private Wealth Managers of RBC Dominion Securities RBC Dominion Securities Inc. RBC Dominion Securities Inc. Harp Dhillon Group Private Wealth Managers of RBC Dominion Securities 1 Harp Dhillon Group Private Wealth Managers of RBC Dominion Securities A

More information

Finding the right commercial real estate partner for foreign investors

Finding the right commercial real estate partner for foreign investors The China Investor, Volume 1, Issue 1 Finding the right commercial real estate partner for foreign investors Article By SKIP WHITNEY (/EN/PROFILE/SKIP-WHITNEY) on May 19, 2017 Finding the right commercial

More information

ALTAMONT CAPITAL PARTNERS

ALTAMONT CAPITAL PARTNERS Firm: ALTAMONT CAPITAL PARTNERS ALTAMONT CAPITAL PARTNERS Asset Manager Founded in Hidden Hidden Hidden Hidden Brixton Partners with Altamont Capital Partners Headcount: Hidden Assets Under Management:

More information

W H AT W E D O SPONSORS. Contents INVESTMENT TERMS SENIOR MANAGEMENT

W H AT W E D O SPONSORS. Contents INVESTMENT TERMS SENIOR MANAGEMENT Contents W H AT W E D O 3 SPONSORS 6 INVESTMENT TERMS 7 A D VA N TA G E S 8 SENIOR MANAGEMENT 9 C O N TA C T 10 What we do Typical Real Estate Capital Stack Milestone Partners Real Estate Capital Stack

More information

Smith A. Brownlie III, CPA

Smith A. Brownlie III, CPA Brownlie & Braden, LLC, provides services specifically addressing the needs of individuals and families that have accumulated significant wealth. Our approach to providing these services is sensitive to

More information

MOODY S CORPORATION (Exact Name of Registrant as Specified in Charter)

MOODY S CORPORATION (Exact Name of Registrant as Specified in Charter) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event

More information

The Lake Union Group at Morgan Stanley. Tailored financial strategies for future generations and passions.

The Lake Union Group at Morgan Stanley. Tailored financial strategies for future generations and passions. The Lake Union Group at Morgan Stanley Tailored financial strategies for future generations and passions. 601 UNION STREET SUITE 2900 SEATTLE, WA 98101 206-336-1626 / MAIN 800-733-4873 / TOLL-FREE 206-464-5928

More information

The Apollo Group at Morgan Stanley

The Apollo Group at Morgan Stanley The Apollo Group at Morgan Stanley A wealth advisory practice that provides clients with the financial planning and investment management services they require and deserve. Private Wealth Management: The

More information

Headcount: Hidden Founded in Hidden

Headcount: Hidden Founded in Hidden Firm: MOMENTUM ADVISORS MOMENTUM ADVISORS Asset Manager Headcount: Hidden Founded in Hidden Assets Under Management: Hidden Hidden Hidden Hidden Raritan Valley Community College Foundation Board welcomes

More information

Supplement to Form ADV Part 2 Form ADV Part 2B

Supplement to Form ADV Part 2 Form ADV Part 2B Item 1- Cover Page Supplement to Form ADV Part 2 Form ADV Part 2B (for each of the Supervised Persons Listed in Item 2 below) Lazard Wealth Management LLC 30 Rockefeller Plaza New York, New York 10112

More information

Experiences Shared and Lessons Learned on Successfully Selling or Transferring a Business

Experiences Shared and Lessons Learned on Successfully Selling or Transferring a Business U.S. Trust cordially invites you to THE OWNER s JOURNEY Experiences Shared and Lessons Learned on Successfully Selling or Transferring a Business WEDNESDAY, MAY 3, 2017 7:30 a.m. 9:30 a.m. U.S. TRUST 280

More information

The Tribeca Group at Morgan Stanley Smith Barney

The Tribeca Group at Morgan Stanley Smith Barney The Tribeca Group at Morgan Stanley Smith Barney November, 2011 Morgan Stanley Smith Barney LLC One Penn Plaza, 43rd Floor New York, NY 10119 212-643-5713 Scott McCoy Director Portfolio Manager Yunjin

More information

Outside Business Activities (OBAs) and Private Securities Transactions (PSTs) Thursday, November 8 1:45 p.m. 2:45 p.m.

Outside Business Activities (OBAs) and Private Securities Transactions (PSTs) Thursday, November 8 1:45 p.m. 2:45 p.m. Outside Business Activities (OBAs) and Private Securities Transactions (PSTs) Thursday, November 8 1:45 p.m. 2:45 p.m. Outside business activities (OBAs) and private securities transactions (PSTs) are

More information

The Rock Group at Morgan Stanley Smith Barney. Managing Your Wealth, Growing Our Relationship

The Rock Group at Morgan Stanley Smith Barney. Managing Your Wealth, Growing Our Relationship The Rock Group at Morgan Stanley Smith Barney Managing Your Wealth, Growing Our Relationship Change is the law of life. And those who look only to the past or present are certain to miss the future. John

More information

The TPC Group at Morgan Stanley Smith Barney

The TPC Group at Morgan Stanley Smith Barney The TPC Group at Morgan Stanley Smith Barney 53 State Street Exchange Place, 39th Floor, Boston, Massachusetts 02109 800-752-2678 / Main 617-227-9070 / fax fa.morganstanleyindividual.com/tpcgroup robert.m.panessiti@mssb.com

More information

The Haas Group at Morgan Stanley Smith Barney

The Haas Group at Morgan Stanley Smith Barney The Haas Group at Morgan Stanley Smith Barney FLORIDA: 595 South Federal Highway 31099 Chagrin Boulevard Suite 400, Boca Raton, Florida 33432 3rd Floor, Pepper Pike, Ohio 44124 OHIO: 561-393-1561 / main

More information

The Fortress Group at Morgan Stanley

The Fortress Group at Morgan Stanley The Fortress Group at Morgan Stanley 1 PENN PLAZA, 43RD FL NEW YORK, NY 10119 212-643-5781 / MAIN 800-223-4565 / TOLL-FREE 212-714-2546 / FAX http://www.morganstanleyfa.com/thefortressgroup lane.h.katz@ms.com

More information

KBB Wealth Management at Morgan Stanley Smith Barney

KBB Wealth Management at Morgan Stanley Smith Barney KBB Wealth Management at Morgan Stanley Smith Barney 601 Union Street Suite 5200, Seattle, Washington 98101 206-628-4862 / Main 800-426-7837 / Toll-Free 206-628-4425 / fax fa.morganstanleyindividual.com/

More information

Brookfield Investment Partners, LLC 330 South Executive Drive #307 Brookfield, WI July 29, 2011

Brookfield Investment Partners, LLC 330 South Executive Drive #307 Brookfield, WI July 29, 2011 Item 1- Cover Page Michael J. Steppe William H. Bergner Lora J. Olenchek Brookfield Investment Partners, LLC 330 South Executive Drive #307 Brookfield, WI 53005 262-785-6751 July 29, 2011 This Brochure

More information

David R. Bell. Edward C. Bernard. Barbara Bittick. Jerome A. Clark, CFA

David R. Bell. Edward C. Bernard. Barbara Bittick. Jerome A. Clark, CFA David R. Bell Dave Bell is a vice president of T. Rowe Price Group, Inc., and a vice president and senior retirement sales executive for T. Rowe Price Retirement Plan Services, Inc. Dave is responsible

More information

The Patterson Group at Morgan Stanley Smith Barney

The Patterson Group at Morgan Stanley Smith Barney The Patterson Group at Morgan Stanley Smith Barney 1241 JOHN Q HAMMONS DRIVE MADISON, WI 53717 608-829-4338 / MAIN As the financial world becomes more complex and investment choices multiply, careful planning

More information

BROCHURE SUPPLEMENTS (ADV PART 2B)

BROCHURE SUPPLEMENTS (ADV PART 2B) BROCHURE SUPPLEMENTS 2018470 1 BROCHURE SUPPLEMENT BRADFORD A. EVANS This brochure supplement provides information about Bradford A. Evans that supplements the Heartland Advisors, Inc. Brochure (ADV Part

More information

Smith A. Brownlie III, CPA

Smith A. Brownlie III, CPA Brownlie & Braden, LLC, provides services specifically addressing the needs of individuals and families that have accumulated significant wealth. Our approach to providing these services is sensitive to

More information

Global Business Update

Global Business Update Global Business Update Looking Ahead to 2019 2019 GLOBAL BUSINESS UPDATE Introduction As we have transitioned into the white space of 2019, we thought it would be helpful to provide some global insights

More information

September 18, 2017 Special Called Meeting of the U. T. System Board of Regents - Meeting of the Board

September 18, 2017 Special Called Meeting of the U. T. System Board of Regents - Meeting of the Board AGENDA SPECIAL CALLED TELEPHONE MEETING of THE UNIVERSITY OF TEXAS SYSTEM BOARD OF REGENTS September 18, 2017 Austin, Texas Page CONVENE THE BOARD IN OPEN SESSION TO RECESS TO EXECUTIVE SESSION PURSUANT

More information

Trevor Holsinger Aspen Wealth Management, Inc.

Trevor Holsinger Aspen Wealth Management, Inc. Item 1- Cover Page Trevor Holsinger Aspen Wealth Management, Inc. 7300 College Blvd, Suite 306 Overland Park, KS 66210 (913) 491-0500 This brochure supplement provides information about Trevor Holsinger

More information

DISCLOSURE BROCHURE & ADV PART 2: PART 2B: BROCHURE SUPPLEMENT

DISCLOSURE BROCHURE & ADV PART 2: PART 2B: BROCHURE SUPPLEMENT DISCLOSURE BROCHURE & ADV PART 2: PART 2B: BROCHURE SUPPLEMENT MARCH 28, 2019 SCHULTZ COLLINS, INC. INVESTMENT COUNSEL 455 Market Street, Suite 1250 San Francisco, California 94105 TELEPHONE: 415.291.3000

More information

The Whalen Group at Morgan Stanley Smith Barney

The Whalen Group at Morgan Stanley Smith Barney The Whalen Group at Morgan Stanley Smith Barney 125 High Street 24th Floor, Boston, Massachusetts 02110 617-748-5818 / Main 800-829-9199 / Toll-Free 617-478-6518 / fax www.morganstanley.com/fa/ whalengroup

More information

The Texas Capitol Group at Morgan Stanley Smith Barney. When the Details Matter

The Texas Capitol Group at Morgan Stanley Smith Barney. When the Details Matter The Texas Capitol Group at Morgan Stanley Smith Barney When the Details Matter The Texas Capitol Group at Morgan Stanley Smith Barney will be the wealth advisory group of choice recognized for its exceptional

More information

Springfield Office 910 E. St. Louis St., Suite 200 P.O. Box 2202 Springfield MO,

Springfield Office 910 E. St. Louis St., Suite 200 P.O. Box 2202 Springfield MO, October 1, 2013 Springfield Office 910 E. St. Louis St., Suite 200 P.O. Box 2202 Springfield MO, 65801-2202 www.bkdwa.com Advisors presented in this supplement: Rhonda Christopher Michael Blumreich Leia

More information

2015 Real Estate Industry Update A landscape for change: Transforming for the future

2015 Real Estate Industry Update A landscape for change: Transforming for the future 2015 Real Estate Industry Update A landscape for change: Transforming for the future December 10, 2015 Welcome Welcome to Deloitte s 2015 real estate industry update The real estate industry has been on

More information

WHO WE SERVE. Regulators Business and Law Schools. Executives and Staff Job Seekers & Students

WHO WE SERVE. Regulators Business and Law Schools. Executives and Staff Job Seekers & Students RCA MISSION Protect investors and financial markets as the exclusive authority for compliance education, training, accreditation, certification, skills assessment, and employee development. 1 WHO WE SERVE

More information

The Bahbah Group at Morgan Stanley Smith Barney

The Bahbah Group at Morgan Stanley Smith Barney The Bahbah Group at Morgan Stanley Smith Barney 14850 North Scottsdale Road 6th Floor, Scottsdale, Arizona 85254 480-922-7941 / Main 800-347-5107 / Toll-Free 480-922-7878 / Fax bishara.bahbah@mssb.com

More information

The Radcliff-Schatzman Group at Morgan Stanley Smith Barney

The Radcliff-Schatzman Group at Morgan Stanley Smith Barney The Radcliff-Schatzman Group at Morgan Stanley Smith Barney 11 North Water Street Suite 16290, Mobile, Alabama 36602 251-470-1060 / Main 251-470-1100 / fax fa.smithbarney.com/theradcliffgroupsb The Radcliff-Schatzman

More information

The Complexities of Mixed Use

The Complexities of Mixed Use The Complexities of Mixed Use 2:30 pm 5:00 pm Thursday, October 15, 2015 Piper Auditorium, Gund Hall MDes Real Estate & the Built Environment Harvard University Graduate School of Design 48 Quincy Street,

More information

The Rast Group at Morgan Stanley Smith Barney. Principle Driven Wealth Management

The Rast Group at Morgan Stanley Smith Barney. Principle Driven Wealth Management The Rast Group at Morgan Stanley Smith Barney Principle Driven Wealth Management 1501 Main Street Suite 715, Columbia, SC 29201 803-251-3300 / MAIN 800-786-7866 / TOLL-FREE www.therastgroup.com ben.rast@mssb.com

More information

The Klausner & Duffy Investment Group at Morgan Stanley Smith Barney

The Klausner & Duffy Investment Group at Morgan Stanley Smith Barney The Klausner & Duffy Investment Group at Morgan Stanley Smith Barney 800 East 96th Street Suite 400, Indianapolis, Indiana 46240 317-818-7300 / Main 888-930-0159 / Toll-Free 317-818-7440 / fax jonathan.klausner@mssb.com

More information

The Princi Group at Morgan Stanley

The Princi Group at Morgan Stanley The Princi Group at Morgan Stanley 53 State Street 39th Floor, Boston, MA 02109 617-589-3229 / MAIN 617-830-9782 / FAX www.morganstanleyfa.com/ theprincigroup peter.b.princi@morganstanley.com Our practice

More information

The Clark McKinney Tramontana Group at Morgan Stanley. Smart Solutions. Lasting Relationships.

The Clark McKinney Tramontana Group at Morgan Stanley. Smart Solutions. Lasting Relationships. The Clark McKinney Tramontana Group at Morgan Stanley Smart Solutions. Lasting Relationships. Some Things Are Meant to Last We believe something as important as wealth management should be a positive,

More information

Enhancing Audit Quality and Transparency Supplement Additional information required by Article 13 of EU Regulation 537/2014

Enhancing Audit Quality and Transparency Supplement Additional information required by Article 13 of EU Regulation 537/2014 Enhancing Audit Quality and Transparency Supplement Additional information required by Article 13 of EU Regulation 537/2014 December 2017 kpmg.com Contents 1. Network arrangement 1 1.1 Legal structure

More information

Our Mission. About Morgan Stanley Wealth Management

Our Mission. About Morgan Stanley Wealth Management Our Mission Our Approach About Morgan Stanley Wealth Management As an affluent investor, you seek greater simplicity, customized strategies and a high level of service. As your committed financial advisors,

More information

Morgan Stanley. The Jack Group Wealth Management

Morgan Stanley. The Jack Group Wealth Management Morgan Stanley The Jack Group Wealth Management The Jack Group Wealth Management Team (In order from left to right: Sarah Baig; Rick Jack; Rupa Jack; Ariel Narasimhan; Peta Sklarz) Rupa Jack, CIMA ; CWS

More information

FORM ADV PART 2B BROCHURE SUPPLEMENT. South Texas Money Management, Ltd.

FORM ADV PART 2B BROCHURE SUPPLEMENT. South Texas Money Management, Ltd. FORM ADV PART 2B BROCHURE SUPPLEMENT South Texas Money Management, Ltd. 700 N. St. Mary s Street, Suite 100 San Antonio, Texas 78205 (210) 824-8916 (210) 824-8718 (Fax) www.stmmltd.com March 29, 2019 This

More information

The Park Bay Group at Morgan Stanley Smith Barney

The Park Bay Group at Morgan Stanley Smith Barney The Park Bay Group at Morgan Stanley Smith Barney We provide comprehensive wealth management advice and help connect all the pieces of your financial life. 2/MORGAN STANLEY SMITH BARNEY Our Mission Through

More information

TANAMERA Biography OCTOBER 2017

TANAMERA Biography OCTOBER 2017 TANAMERA Biography OCTOBER 2017 5560 Longley Lane - Reno, NV 89511 (775) 850-4200 www.tanamera.info/ COMPANY OVERVIEW Tanamera is a unique real property development and construction company that provides

More information

Building Wealth and Prosperity in the Communities We Call Home

Building Wealth and Prosperity in the Communities We Call Home Building Wealth and Prosperity in the Communities We Call Home Executive Summary EDA exclusively represents the equity capital market interests for the retail and institutional operations of middle market

More information

The Compass Group at Morgan Stanley Smith Barney. Naples and Marco Island Florida

The Compass Group at Morgan Stanley Smith Barney. Naples and Marco Island Florida The Compass Group at Morgan Stanley Smith Barney Naples and Marco Island Florida 8889 Pelican Bay Blvd. Suite 300, NAPLES, FL 34108 239-449-7859 / MAIN 800-237-8686 / TOLL-FREE 239-449-7850 / FAX http://fa.morganstanleyindividual.com/carusozapalski/

More information

Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team

Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team Form ADV Part 2B Investment Adviser Brochure Supplement Dividend Assets Capital, LLC Portfolio Management Team Team Members: C. Troy Shaver, Jr. Peter G. Gerry III James Haley, CFP Alan E. Johnson, CFP

More information

investments asset management property management

investments asset management property management investments asset management property management Our Mission To acquire quality properties providing secure and sustainable returns for our equity partners. About the Company The Partnered Property Acquisitions

More information

Form ADV Part 2B: Supplemental Information for. Donald P. Gould. March 23, 2011

Form ADV Part 2B: Supplemental Information for. Donald P. Gould. March 23, 2011 Item 1 Cover Page Gould Asset Management LLC 341 West First Street, Suite 200 Claremont, CA 91711 (909) 445-1291 www.gouldasset.com Form ADV Part 2B: Supplemental Information for Donald P. Gould March

More information

2016 ICGN Annual General Meeting

2016 ICGN Annual General Meeting Item 14, June ICGN Board Meeting 2016 ICGN Annual General Meeting Composition of the Nomination Committee Erik Breen, Chair, ICGN Board of Governors The ICGN Nomination Committee is constituted in accordance

More information

2019 Proxy Statement

2019 Proxy Statement 2019 Proxy Statement FEBRUARY 2019 To Our Members: The Annual Meeting of Members of Massachusetts Mutual Life Insurance Company will be held on Wednesday, April 10, 2019, at our home office in Springfield,

More information

The Walton and Hitt Group at Morgan Stanley. La Jolla, CA

The Walton and Hitt Group at Morgan Stanley. La Jolla, CA The Walton and Hitt Group at Morgan Stanley La Jolla, CA 1111 Prospect Street La Jolla, CA 92037 858-729-5048 / MAIN 800-473-2331 / TOLL-FREE 858-551-5117 / FAX www.morganstanleyfa.com/thewaltonandhittgroup

More information

The Spectrum Group at Morgan Stanley

The Spectrum Group at Morgan Stanley The Spectrum Group at Morgan Stanley 20807 Biscayne Blvd 6th Floor, Aventura, FL 33180 305-937-7100 / MAIN 800-736-4554 / TOLL-FREE 305-937-7136 / FAX www.morganstanleyfa.com/thespectrumgroup The Spectrum

More information

Stellar Capital Management, LLC

Stellar Capital Management, LLC Stellar Capital Management, LLC 2200 East Camelback Road, Suite 130 Phoenix, Arizona 85016 602.778.0307 Form ADV Part 2B The Brochure Supplement March 30, 2017 This Brochure Supplement provides information

More information

Smith A. Brownlie III, CPA

Smith A. Brownlie III, CPA Brownlie & Braden, LLC, provides services specifically addressing the needs of individuals and families that have accumulated significant wealth. Our approach to providing these services is sensitive to

More information

Challenging Times: Sustaining Your Business While Waiting for Financing. January 14, 2009

Challenging Times: Sustaining Your Business While Waiting for Financing. January 14, 2009 Challenging Times: Sustaining Your Business While Waiting for Financing January 14, 2009 Attorney Advertising Prior results do not guarantee a similar outcome Models used are not clients but may be representative

More information

Additional information about Christopher Wootton is available on the SEC s Web site at

Additional information about Christopher Wootton is available on the SEC s Web site at Christopher Wootton ChFC CRD #5428911 Common Wealth Centre 2040 North Loop 336W, Suite 125 Conroe, TX 77304 This Brochure Supplement provides information about Christopher Wootton that supplements the

More information

MANGROVE EQUITY PARTNERS

MANGROVE EQUITY PARTNERS Firm: MANGROVE EQUITY PARTNERS MANGROVE EQUITY PARTNERS Asset Manager Founded in Hidden Hidden Hidden Hidden Headcount: Hidden Assets Under Management: Hidden Salem Partners Advises North American Aircraft

More information

Ask the Regulator and Industry Experts Thursday, September 14 3:30 p.m. 4:30 p.m.

Ask the Regulator and Industry Experts Thursday, September 14 3:30 p.m. 4:30 p.m. Ask the Regulator and Industry Experts Thursday, September 14 3:30 p.m. 4:30 p.m. During this session, panelists answer your questions related to the fixed income regulatory landscape. Panelists also address

More information