black and white state seal

DEPARTMENT OF PROFESSIONAL AND FINANCIAL REGULATION
BUREAU OF INSURANCE

TALCOTT RESOLUTION LIFE AND ANNUITY INSURANCE COMPANY

One or more of the licenses listed below were subject to license/disciplinary action. Details regarding each action can be found below under the affected license.

INSURANCE COMPANY

License Number:
LHF660
Status:
First Licensure:
10/01/1970
Cancel Date:
None
Renewal Date:
08/10/2026
NAIC Code:
71153

Street Location:
1 AMERICAN ROW
HARTFORD, CT 06103-2801
Mailing:
1 AMERICAN ROW
HARTFORD, CT 06103-2801
Phone:
+1 (800) 862-6668
Fax:
+1 (860) 757-1010
Email:
annualreports@talcottresolution.com

History

License Type Start Date End Date
INSURANCE COMPANY 02/28/1990 08/10/2026

Employee

Name Issue Date License Number Expiration Date Cancel Date
JOSEPH ABBONDANTE
02/27/2026 PRN330325
THOMAS H. ABLES
02/11/2026 PRN190447
THE ACHIEVEMENT GROUP ENTERPRISES LLC
01/09/2026 AGN414721
ADAMS LIFE BROKERAGE, LLP
02/23/2026 AGN311770
ADVISORS EXCEL LLC
12/11/2025 AGN187564
AEGIS FINANCIAL LLC
01/09/2026 AGN112657
AFG II LLC
04/01/2026 AGN439633
AGENT SUPPORT SERVICES LLC
07/11/2007 AGN51422
AIP MARKETING ALLIANCE LLC
01/09/2026 AGN90711
THOMAS V. ALESSI
03/20/2026 PRN496644
DUSTIN R. ALIPOUR
01/20/2026 PRN375572
ALLEN AGENCY
11/01/1973 AGR29497
ZACHARY DAVID ALLEN
04/09/2026 PRN383207
ALLSTATE FINANCIAL SERVICES LLC
08/13/2007 AGN77646
ALPHASTAR CAPITAL MANAGEMENT INSURANCE, LLC
02/06/2026 AGN524187
AMERICAN GENERAL INSURANCE AGENCY INC
08/10/2007 AGN41169
AMERICAN GROUP INSURANCE SERVICE, LLC
03/30/2026 AGN454952
AMERIPRISE FINANCIAL SERVICES LLC
10/13/2003 AGN55156
ANNUITY ASSOCIATION AGENCY LLC
01/20/2026 AGN511049
ANNUITYPATH, LLC
02/02/2026 AGN506075
FARRUKH ANWAR
02/10/2026 PRN417587
JASON S. APPLEBAUM
01/27/2026 PRN403500
ARCADIA FINANCIAL GROUP, LLC
01/29/2026 AGN356613
ASH BROKERAGE LLC
11/22/2005 AGN56161
BRIAN EDWARD ASKINS
03/17/2026 PRN401160
ASSURANCE GROUP LLC
01/16/2026 AGN115368
ARTHUR WILLIAM ATHANAS
01/07/2026 PRN268420
AURORA INSURANCE SERVICES INC
02/05/2010 AGN152626
AVANTAX INSURANCE SERVICES INC
06/12/2014 AGN53210
AXCELUS FINANCIAL AGENCY, INC.
04/04/2005 AGN47190
THE AYCO SERVICES AGENCY LP
03/22/2004 AGN41213
MICHAEL JOSEPH AZZATO
04/10/2026 PRN491498
B RILEY WEALTH MANAGEMENT INC
04/08/2008 AGN141295
BAIRD INSURANCE SERVICES INC
12/10/2008 AGN35509
JOHN BALSMEIER
01/09/2026 PRN490280
LEE BARLAS
02/05/2026 PRN227957
BAYOU CITY INSURANCE BROKERAGE, LLC
03/02/2026 AGN481712
BCG SECURITIES INC
04/17/2026 AGN108138
CHRISTIAN G. BEITER
02/03/2026 PRN515477
PAUL BENNETT
02/12/2026 PRN323690
TODD STEPHEN BENSCHNEIDER
12/01/2025 PRN466462
JASEN BENTON
03/19/2026 PRN287340
DIETER WILLIAM BERGNER JR
02/18/2026 PRN279014
BERTHEL FISHER & COMPANY INSURANCE INC
02/26/2008 AGN100930
JACOB BETTERIDGE
03/20/2026 PRN449246
BRETT A. BLAKE
01/08/2026 PRN486501
JEFFREY STEPHEN BLOCKER
01/29/2026 PRN219611
BLUEPRINT INSURANCE SERVICES, LLC
01/16/2026 AGN509876
MICHAEL JOSEPH BOHO JR
02/19/2026 PRN167194
GREGORY C. BOLES
01/20/2026 PRN420879
MICHAEL ANTHONY BOWERS
03/30/2026 PRN428388
THOMAS FRANCIS BOYLE
01/23/2026 PRN504735
LEAH M. BRANDT
02/02/2026 PRN505956
LAURENCE M. BRAUNSTEIN
04/13/2026 PRN194418
BROKERS CLEARING HOUSE LLC
03/11/2026 AGN85334
DENISE M. BUCHANAN
01/22/2026 PRN381475
BUCK GLOBAL LLC
12/16/2005 AGN54338
JONATHAN RORY BUSSERT
12/18/2025 PRN306831
DAVID J. CALLANAN
12/10/2025 PRN184197
JACK AARON CALLIE
03/04/2026 PRN541939
CALTON & ASSOC INC
02/12/2024 AGN207282
KELLY PETER CAMPBELL
01/29/2026 PRN255059
MARJORIE ELLEN CANTIN
03/10/2026 PRN109168
VIKKI CAO
04/14/2026 PRN451271
MARCO CAPALDI
12/22/2025 PRN61553
CAPE SECURITIES INC
01/27/2010 AGN173965
CAPFINANCIAL SECURITIES LLC
01/22/2026 AGN247096
CAPITAL CLIENT GROUP, INC.
04/08/2003 AGN83694
CAPITAS AGENCY LLC
01/12/2026 AGN127385
CAROLINA SENIOR MARKETING LLC
01/20/2026 AGN375889
CHRISTOPHER CARTER
01/29/2026 PRN530467
CARY STREET PARTNERS LLC
07/22/2014 AGN234930
MARC A. CATONA
01/27/2026 PRN417163
CBIZ BENEFITS & INSURANCE SERVICES INC
07/10/2012 AGN67055
CENTAURUS FINANCIAL INC
08/06/2007 AGN39596
CES INSURANCE AGENCY LLC
07/31/2007 AGN23075
CETERA ADVISORS LLC
06/04/2007 AGN47055
CETERA FINANCIAL SPECIALISTS LLC
08/06/2007 AGN70449
CETERA INVESTMENT SERVICES LLC
04/06/2004 AGN54272
CETERA WEALTH SERVICES, LLC
08/21/2007 AGN26604
STEVEN LEWIS CHARLTON
01/12/2026 PRN318536
CHASE INSURANCE AGENCY INC
08/03/2007 AGN51795
CHAD HOU JEN CHEN
04/13/2026 PRN541553
THOMAS W. CHESMORE
02/23/2026 PRN319083
DUSTAN ROBERT CHRISTENSEN
02/04/2026 PRN410062
MACKENZIE JAMES CHRYSTAL
01/22/2026 PRN319592
CITIGROUP LIFE AGENCY LLC
05/20/2009 AGN165158
CITIZENS SECURITIES INCORPORATED
07/12/2007 AGN72001
CLARK CONSULTING LLC
08/10/2007 AGN60373
TYRONE MARTIN CLARK
01/12/2026 PRN54988
BRANDON CLARKE
03/30/2026 PRN471442
COMPREHENSIVE INSURANCE PROGRAMS INC GENERAL AGENT
04/09/2026 AGN45848
COMPREHENSIVE INSURANCE PROVIDERS INC
03/05/2010 AGN125850
NICOLE CONNORS
03/27/2026 PRN524881
CONSOLIDATED LIFE PRODUCERS LLC
08/09/2013 AGN75926
COPPER FINANCIAL NETWORK, LLC
06/03/2014 AGN232589
CORE INCOME ADVISORS LLC
02/18/2026 AGN263062
COYLE CO INS GROUP LLC
12/12/2012 AGN161720
CP RISK MANAGEMENT SERVICES LLC
02/03/2026 AGN447306
CPS INSURANCE SERVICES
06/25/2007 AGN44456
CRAIG JERNIGAN ENTERPRISES, LLC
03/06/2026 AGN450437
CREATIVE CAPITAL INC
05/26/2005 AGN113806
CREATIVE ONE MARKETING, LLC
11/05/2025 AGN42258
CRUMP LIFE INSURANCE SERVICES LLC
07/10/2007 AGN26454
CSFG INSURANCE AGENCY INC
10/28/2009 AGN170257
MEGAN Z. CULVER
03/17/2026 PRN358353
JEREMY FRANKLIN DAVIS
02/03/2026 PRN446963
JON DAVIS
01/26/2026 PRN135176
ANTHONY PERRY DE SANTIS
03/23/2026 PRN354915
JOSHUA KANE DELGADO
03/27/2026 PRN473953
DELTA FINANCIAL INSURANCE BROKERAGE CORPORATION
08/27/2008 AGN111044
MISTY LYNN DETIVEAUX
03/11/2026 PRN232798
CATHY A. DEWITT
04/14/2026 PRN128145
CRAIG MATTHEW DICKSON
02/27/2026 PRR90992
DIVERGENT FINANCIAL GROUP CORP
01/23/2026 AGN459568
DMI MARKETING INC
01/09/2026 AGN67500
BRIAN J. DONAHUE
12/22/2025 PRN51547
JEAN DORRELL
03/27/2026 PRN361698
JASON MICHAEL DORSO
03/05/2026 PRN164371
ROBERT LEE DRUSCHEL JR
01/28/2026 PRN407704
BRIAN T. DVORAK
03/05/2026 PRN418042
MICHAEL H. EBMEIER
10/29/2025 PRN140785
ECA MARKETING INC
11/25/2025 AGN56881
EDISON RISK LLC
03/02/2026 AGN210949
EDWARD D JONES & CO LP
07/16/2012 AGN32534
EMERSON ROGERS LLC
06/17/2008 AGN127107
JEFFREY EMRICH
01/20/2026 PRN218600
EQUITABLE NETWORK LLC
01/06/2012 AGN189279
EQUITY SERVICES INC
07/11/2007 AGN23852
KAREN S. ESSARY
01/28/2026 PRN524594
EVERVEST INC
01/23/2026 AGN414064
EXECUTIVE INSURANCE AGENCY INC
10/25/2002 AGN59547
FAIRLANE FINANCIAL CORP
01/09/2026 AGN34758
PATRICK CHRISTOPHER FARRELL
01/12/2026 PRN460459
FEDERAL SOLUTIONS SUPPORT LLC
02/10/2026 AGN451110
FIDELITY INSURANCE AGENCY INC
10/24/2006 AGN16735
FINANCIAL INDEPENDENCE GROUP LLC
06/14/2010 AGN52364
MARK E. FINKEN
01/12/2026 PRN136848
FIRST AMERICAN INSURANCE UNDERWRITERS LLC
06/23/2006 AGN77260
FIRST COMMAND INSURANCE SERVICES INC
10/12/2011 AGN185932
FIRST HORIZON INSURANCE SERVICES INC
08/08/2007 AGN89342
DONALD EDWARD FLETCHER
03/18/2026 PRN207133
BRACKIN FLITTON
03/17/2026 PRN527958
TIMOTHY P. FOLEY
02/18/2026 PRN262899
FORD INSURANCE AGENCY INC
10/02/1995 AGR1443
FOUNDATIONAL INCOME ASSOCIATES LIMITED LIABILITY COMPANY
11/12/2025 AGN426792
ALLEN RILEE FREDERICKS
03/03/2026 PRN538036
RONALD R. FREDETTE
02/27/2026 PRN26514
JOHN F. GARFIELD
02/05/2026 PRN332075
GARNSEY BROTHERS
01/22/2007 AGR1585
GEN3 ADVISOR GROUP LLC
01/23/2026 AGN506463
GENEOS WEALTH MANAGEMENT INC
02/20/2006 AGN93118
GENTRY PARTNERS LTD
07/29/2004 AGN99607
GENWORTH FINANCIAL AGENCY INC
04/17/2012 AGN20459
ALEXANDRE GEORGIEV JR
02/11/2026 PRN203949
JOSHUA ADAM GETTLER
01/20/2026 PRN347539
RENE JEAN GILLET
12/23/2025 PRN418338
GLOBAL ATLANTIC DISTRIBUTORS LLC
08/29/2006 AGN130610
LAWRENCE STEVEN GOLDSTEIN
01/27/2026 PRN473216
DUANE GOODELL
02/03/2026 PRN381232
GRADIENT INSURANCE BROKERAGE LLC
12/12/2025 AGN130014
GRADIENT SECURITIES LLC
09/01/2009 AGN167808
RALPH ANTHONY GRAUSO
01/23/2026 PRN490582
CHRISTINE MAE GREGOR MACLEAN
02/20/2026 PRR38852
MARK CARL GROOM
02/06/2026 PRN415802
DARREN GRUNBERG
01/22/2026 PRN465803
GWN SECURITIES INC
01/26/2010 AGN142872
ALEXANDER HUGO HAASE-DUBOSC
03/09/2026 PRN213137
DAVID CLIFFORD HALL
04/17/2026 PRN413903
HALO INVESTING INSURANCE SERVICES, LLC
11/19/2025 AGN377392
DEBBIE J. HANNAM
03/11/2026 PRN387659
THOMAS HARPER
01/23/2026 PRN504760
REBEKAH SYLVIA HART
01/12/2026 PRN247303
CURTIS A. HAWKS
11/25/2025 PRN327445
LEONARD P. HAYDUCHOK
03/26/2026 PRN371083
HEARTLAND FINANCIAL GROUP LLC
01/27/2026 AGN239506
JAMES JOSEPH HELBIG
03/02/2026 PRN212531
JASON PHILLIP HERRING
03/31/2026 PRN291799
HIGGINBOTHAM FINANCIAL INSURANCE AGENCY, LLC
01/26/2026 AGN346616
ROBIN ANN HOFHEINZ
04/13/2026 PRN520710
THOMAS EDWARD HOWARD
01/22/2026 PRN184015
HSBC INSURANCE AGENCY (USA) INC
10/22/2008 AGN80719
BENJAMIN WARD HULBURT
04/01/2026 PRN439391
IDEAL PRODUCERS GROUP INC
01/28/2026 AGN525579
IMPACT PARTNERSHIP LLC
01/30/2026 AGN191126
INNOVATIVE UNDERWRITERS, LLC
04/24/2006 AGN52776
INSURANCE AGENCY MARKETING SERVICES INC
11/25/2025 AGN40374
INTEGRITY ALLIANCE, LLC
09/12/2006 AGN130492
INTEGRITY LIFE & ANNUITIES, LLC
01/09/2026 AGN57682
INVESTMENT EXECUTIVES, INC
02/27/2026 AGR178311
INVITA FINANCIAL LLC
02/09/2026 AGN266188
ALEJANDRO IZARRARAZ
02/17/2026 PRN248924
J HELBIG & COMPANY LLC
03/02/2026 AGN406307
J W COLE INS SERVICES INC
10/19/2006 AGN120682
JAMESON FINANCIAL SOLUTIONS, INC.
02/02/2026 AGN328467
HARRY EDWARD JAMESON
02/02/2026 PRN328290
MARIA JEANINE JAMESON
04/07/2026 PRN411001
DAVID MATTHEW JANECEK
02/02/2026 PRN155696
JANNEY MONTGOMERY SCOTT LLC
07/31/2007 AGN88665
CRAIG LYNN JERNIGAN
03/06/2026 PRN449737
FLOYD ALLEN JOHNSON
01/22/2026 PRN116396
JOHNSTONE BROKERAGE SERVICES, LLC
03/25/2025 AGN436503
ALFRED JONES
04/17/2026 PRN127130
JONATHAN CHRISTOPHER JONES
02/17/2026 PRN366502
ERIC JASON JUDY
03/31/2026 PRN215168
ETHAN GARET KAP
02/09/2026 PRN231625
RAZEN R. KATHAWA
01/09/2026 PRN499573
KELLY FINANCIAL RISK MANAGEMENT ASSOCIATES, LLC
02/13/2026 AGN538533
HEATHER LYNN KELLY
03/11/2026 PRN260999
KELLY WARREN KELLY
02/13/2026 PRN538397
PATRICK RICHARD KELLY JR
01/28/2026 PRN326682
KESTRA INVESTMENT SERVICES LLC
02/07/2007 AGN78771
KEYCORP INSURANCE AGENCY USA INC
11/27/2007 AGN98784
KFC INSURANCE AGENCY INC
07/24/2007 AGN56932
KINNEY PIKE INSURANCE INC
07/01/2005 AGN75198
THOMAS S. KINNEY
03/10/2026 PRN140023
RICHARD A. KISSER
01/09/2026 PRN400322
KELLY RALPH KLEINSASSER
01/12/2026 PRN370229
KOVACK SECURITIES INC
11/18/2010 AGN92960
MELANIE KRUPA
03/11/2026 PRN496524
DAVID AARON KUTCHER
01/22/2026 PRN24102
DYLAN M. KVAALE
01/13/2026 PRN415963
MICHAEL J. LALLY
03/20/2026 PRN237772
RONALD JEFFERY LANE
12/23/2025 PRN34759
DIANE K. LANGENDORF
02/23/2026 PRN504432
LASTING MARK, LLC
03/17/2026 AGN402113
THE LEADERS GROUP INC
11/18/2003 AGN49672
LEGEND FINANCIAL MARKETING SERVICES, LLC,
01/09/2026 AGN411006
LEVERAGE FINANCIAL GROUP LLC
01/20/2026 AGN347986
LEVERAGERX INSURANCE SERVICES, LLC
02/18/2026 AGN363664
MATTHEW NELSON LEWIS
01/27/2026 PRN385578
RYAN TIMOTHY LEX
04/11/2025 PRN505494
THE LIFE AND ANNUITY SHOP LLC
07/23/2009 AGN166882
LIFEMARK SECURITIES CORP
07/17/2007 AGN41403
LINCOLN INVESTMENT PLANNING LLC
07/29/2010 AGN69935
MARK LEON LINDSEY
03/12/2026 PRN149799
LINSCO PRIVATE LEDGER INSURANCE ASSOCIATES INC
07/05/2005 AGN47580
LPA INSURANCE AGENCY INC
08/09/2007 AGN62230
LPL FINANCIAL LLC
08/15/2007 AGN23010
DARIN W. LUCAS
01/09/2026 PRN52946
TAMI J. LUCIUS
12/18/2025 PRN129226
EDWARD FRANCIS LYNCH III
02/27/2026 PRN125583
JEAN FRANCOIS LYSEE
03/17/2026 PRN339941
M HOLDINGS SECURITIES INC
08/16/2007 AGN65263
COLIN CREAN MACDONALD
12/10/2025 PRN357874
MAGELLAN FINANCIAL & INSURANCE SERVICES, LLC
02/18/2026 AGN109651
MAINELY INSURANCE SOLUTIONS
02/20/2026 AGR184532
SERGE MALLAT
01/14/2026 PRN279044
JORDAN ANGELO MANGALIMAN
02/18/2026 PRN356198
MICHAEL JOSEPH MANSFIELD
02/25/2026 PRN146021
STANLEY WALTER MARCUS
02/13/2026 PRN100353
MARKET SHARE INC
08/06/2007 AGN25014
MARSH INSURANCE & INVESTMENTS LLC
04/06/2004 AGN78646
MARSH USA LLC
09/20/2004 AGN37019
ANGEL M. MARTINEZ
02/17/2026 PRN354699
BRENT MATTHEW
03/23/2026 PRN179067
REBECCA MCCOOL
02/13/2026 PRN517264
MATTHEW HUME MCKAY
11/14/2025 PRN483846
DAVID C. MCKNIGHT
03/05/2026 PRN357117
RYAN P. MCNEILL
04/15/2026 PRN442400
MEGASTAR ADVISORS LLC
02/05/2026 AGN228735
JAMES MENTINK
03/04/2026 PRR410804
MERIT AGENCY
01/20/2026 AGN515824
MERRILL LYNCH LIFE AGENCY INC
06/24/2003 AGN47860
LORA L. MEYER
02/03/2026 PRN510659
MICHAEL HOYT MILLER
10/24/2025 PRN328681
WAYNE ANTHONY MILLER
12/08/2025 PRN382818
STEVEN MICHAEL MILLIGAN
03/30/2026 PRN461814
MML INSURANCE AGENCY LLC
12/10/2002 AGN34945
BLAKE W. MOHR
01/12/2026 PRN214539
MOORS & CABOT INC
12/07/2011 AGN175383
MORGAN STANLEY INSURANCE SERVICES INC
03/12/2007 AGN130525
MOSAIC ADVANCED PLANNING, LLC
03/11/2026 AGN527229
JONATHAN SWASEY MOULTON
03/02/2026 PRN139930
MRW FINANCIAL INC.
01/27/2026 AGN442798
MICHAEL E. MULLAN
10/24/2025 PRN185695
JEFFREY GENE MUSGROVE
03/02/2026 PRN481624
MUTUAL OF OMAHA MARKETING CORPORATION
03/24/2005 AGN31225
RICHARD JAMES MUZIK
03/13/2026 PRN525683
MWA FINANCIAL SERVICES INC
05/13/2003 AGN94734
NATIONAL SERVICE GROUP OF AMERILIFE LLC
12/19/2025 AGN170795
NATIONS FINANCIAL GROUP, INC.
02/06/2026 AGN336825
NATIONWIDE FINANCIAL GENERAL AGENCY INC
07/11/2007 AGN48647
NAVY FEDERAL INVESTMENT SERVICES, LLC
09/19/2006 AGN125498
NELSON SECURITIES INC
08/22/2007 AGN40062
NEW YORK LONG TERM CARE BROKERS LLC
01/12/2026 AGN173254
MARK T. NEWMAN
03/05/2026 PRN521027
NEXT FINANCIAL INS SERVICES CO
04/24/2023 AGN200931
CARLOS NIETO
03/05/2026 PRN434389
NORTHWESTERN MUTUAL INVESTMENT SERVICES LLC
04/28/2008 AGN82119
NYLIFE SECURITIES LLC
06/11/2008 AGN139649
OAK HARVEST INSURANCE SERVICES, LLC
01/30/2026 AGN415585
STEPHEN W. ODOM JR
01/30/2026 PRN190940
OHIO NATIONAL INSURANCE AGENCY INC
08/31/2009 AGN97505
JOSEPH ROBERT OHLSON
02/12/2026 PRN373797
ONE RESOURCE GROUP LLC
04/14/2005 AGN92719
OPPENHEIMER LIFE AGENCY LTD
04/16/2008 AGN26497
OPTIMUM FINANCIAL LLC
02/03/2026 AGN280604
KEN ORENSTEIN
04/06/2026 PRN64061
OSAIC INSTITUTIONS, INC
07/31/2007 AGN88278
OSAIC WEALTH INC
08/17/2007 AGN31197
P J ROBB VARIABLE, LLC
08/10/2009 AGN78655
NICHOLAS H. PACHECO
03/24/2026 PRN200492
MICHAEL RICHARD PANICO
01/29/2026 PRN190924
PARK AVENUE SECURITIES LLC
07/11/2007 AGN65324
PARKLAND SECURITIES LLC
11/26/2007 AGN83558
MATTHEW ADAMS PASHBY
02/23/2026 PRN311546
PAYCHEX INSURANCE AGENCY INC
09/25/2006 AGN56888
PEAK INS AGENCY LLC
01/27/2026 AGN236670
PENTEGRA INSURANCE AGENCY INC
11/19/1998 AGN52034
BRIAN B. PETERSON
12/19/2025 PRN142658
ERIC ALAN PETERSON
01/29/2026 PRN45237
DAKOTA STEVEN PIERCE
01/12/2026 PRN390261
SHAWN RYAN PLUMMER
02/10/2026 PRN398206
PNC INSURANCE SERVICES LLC
07/06/2009 AGN63109
GEORGE POLITARHOS
02/04/2026 PRN454634
ATHANASIOS G. POULLAS
03/12/2026 PRN360025
PREFERRED PRODUCT NETWORK INC OF MAINE
06/03/2008 AGN19480
PREMIER SENIOR MARKETING LLC
01/20/2026 AGN62992
RICHARD A. PRESCOTT
04/01/2026 PRN543846
PROSPERA LIFE & ANNUITY SERVICES INC
08/14/2006 AGN127016
PROSPERITY ADVANTAGE MARKETING LLC
01/10/2012 AGN175564
PRUDENTIAL INS AGENCY LLC
08/04/2006 AGN121102
CHRISTOPHER M. PUHER
04/10/2026 PRN491503
PURSHE KAPLAN STERLING INVESTMENTS INC
01/28/2005 AGN110520
THE QUANTUM GROUP, USA, LLC
04/01/2026 AGN324729
ADAM DAVID RAUSCHER
01/20/2026 PRN470309
RAWLINGS INSURANCE SERVICES LLC
02/12/2026 AGN197982
ESWORTH RAWLINGS
02/19/2026 PRN262550
RONALD WAYNE RAWLINGS
03/10/2026 PRN89405
RAYMOND JAMES INS GROUP INC
07/17/2014 AGN233191
RBC CAPITAL MARKETS LLC
08/10/2007 AGN84770
RETIREMENT REALIZED FINANCIAL, LLC
03/27/2026 AGN474150
RETIREONE INVESTMENT SERVICES, LLC
05/23/2016 AGN259181
CRAIG E. RICHARDSON
03/11/2026 PRN307678
SAFE FUTURE FINANCIAL LLC
04/16/2026 AGN439733
SAFE MONEY RETIREMENT, LLC
02/20/2026 AGN476258
ALLIE A. SALEH
03/20/2026 PRN482007
SALEM ADVISORY GROUP LLC
06/16/2014 AGR142815
ERNEST A. SAMPSON
03/30/2026 PRN168144
SCOTT MATTHEW SANDELL
03/06/2026 PRN505207
SBHU LIFE AGENCY INC
11/13/2008 AGN158963
JENNIFER KRISTIN SCHENDEL
02/11/2026 PRN167353
THOMAS ALAN SCHUETH
01/20/2026 PRN113307
HOLLY A. SCHWIEGER HOAK
02/26/2026 PRN442430
SCRANTON FINANCIAL GROUP LLC
03/20/2026 AGN420998
DAVID JOSEPH SCRANTON
03/20/2026 PRN116067
SECURIAN FINANCIAL SERVICES INC
08/13/2007 AGN43013
MATTHEW A. SELPH
02/11/2026 PRN276681
SENIOR INSURANCE & RETIREMENT BENEFITS GROUP DBA HERITAGE FINANCIAL RETIREMENT & INSURANCE SERVICES
01/23/2026 AGN504939
SFG ANNUITY MARKETING INC
02/25/2026 AGN206797
EDWARD LEE SHACKELFORD
01/15/2026 PRN24933
KENNETH A. SHAPIRO
01/12/2026 PRN90852
TROY ROBERT SHARPE
01/30/2026 PRN413529
GEORGE FREDERICK SHAVE
02/25/2026 PRN385142
SHIELDS BROKERAGE LLC
01/09/2026 AGN35604
CHRISTOPHER ARTHUR SHIELDS
01/08/2026 PRN110975
GEORGE M. SHIPE
02/23/2026 PRN473408
RONALD LEE SHURTS
04/01/2026 PRN228589
JASON SIEBERT
01/27/2026 PRN458298
SIGNAL ADVISORS INSURANCE LLC
01/28/2026 AGN329048
SIMPLICITY FINANCIAL DISTRIBUTORS INC
07/12/2007 AGN38551
SIMPLICITY FINANCIAL MARKETING INC
11/07/2025 AGN48782
ALISON ELIZABETH SLEZAK
02/19/2026 PRN506276
SHEREKA D. SMITH
02/22/2026 PRN326586
STEPHANY GRACE SMITH
02/24/2026 PRN539696
SOUND INCOME ACADEMY, LLC
01/16/2026 AGN193064
SOUTHWEST ANNUITIES MARKETING LLC
01/09/2026 AGN212932
SHAWN CHRISTOPHER SPARKS
12/18/2025 PRN368929
JOSEPH W. SPILLMAN
11/21/2025 PRN153920
PAUL DANIEL SPURLOCK
03/10/2026 PRN190387
ERIC M. STEFFY
02/10/2026 PRN448278
STEPHENS INSURANCE LLC
01/19/2007 AGN131371
STERLING BRIDGE INSURANCE AGENCY, LLC
07/11/1997 AGN43669
STEVEN JAMES STERN
02/11/2026 PRN177317
STIFEL NICOLAUS & COMPANY INCORPORATED
09/17/2009 AGN82502
JARAD W. STOLZ
01/07/2026 PRN535716
STONEX SECURITIES INC
04/26/2018 AGN260207
SCOTT ROWLAND STORICK
02/18/2026 PRN366144
CHARLES RHETT STUBBENDECK
02/18/2026 PRN386523
JOSEPH ANTHONY STUMBROSKI
02/17/2026 PRN191536
RONALD B. SUSSMAN
04/09/2026 PRN45716
JARED SUTTON
03/09/2026 PRN285065
RYAN FREDERICK SWEARINGEN
04/06/2026 PRN396895
ANDREA SWOPE
01/14/2026 PRN509167
GORDON ANTHONY SYLVESTER
01/22/2026 PRN457188
TARKENTON FINANCIAL LLC
01/12/2026 AGN138821
FRANCIS A. TARKENTON
01/12/2026 PRN114377
TBS AGENCY INC
07/09/2012 AGN50856
TD WEALTH MANAGEMENT SERVICES INC
11/10/2009 AGN168720
THE OHLSON GROUP, LLC
02/12/2026 AGN136516
THOMPSON AGENCY INC
11/04/2020 AGN8833
TRADE-PMR INSURANCE AGENCY LLC
02/22/2022 AGN325029
TRUCHOICE FINANCIAL GROUP, LLC
01/09/2026 AGN306153
SCOTT TRUKA
12/16/2025 PRN534249
U S BANCORP INS SERVICES L L C
10/31/2011 AGN196394
UBS FINANCIAL SERVICES INSURANCE AGENCY INC
08/09/2007 AGN44426
UNITED BENEFITS LLC
01/21/2026 AGN216303
UNITED PLANNERS FINANCIAL SERVICES OF AMERICA
08/16/2007 AGN24197
JOSEPH EARL UPPLEGER
04/16/2026 PRN439062
USI SECURITIES INC
07/12/2007 AGN56585
SHANE EVERETT VAN LOON
03/30/2026 PRN454665
VANDERBILT SECURITIES LLC
12/29/2009 AGN173441
ROBERT M. VANDY
01/12/2026 PRN377339
VARIABLE CONTRACT AGENCY, LLC
01/26/2021 AGN349720
VARNEY AGENCY INC
07/10/2007 AGR12271
ANIL VAZIRANI
02/26/2026 PRN160259
VERTICAL VISION FINANCIAL MARKETING, LLC
01/09/2026 AGN423422
THOMAS JOHN WADE
11/25/2025 PRN138099
WALSER CAPITAL GROUP LLC
02/05/2026 AGN417737
REBECCA WALSER
02/05/2026 PRN417384
MATT WAYMIRE
02/03/2026 PRN85187
WAYNE MILLER & ASSOCIATES, LLC.
12/08/2025 AGN486688
WEALTHVEST MARKETING INC
11/10/2011 AGN170225
WELLS FARGO ADVISORS INSURANCE AGENCY LLC
06/16/2014 AGN61311
WELLS FARGO WEALTH BROKERAGE INS AGENCY LLC
12/21/2007 AGN84772
WENTWORTH FINANCIAL PARTNERS, LLC
07/30/2013 AGN217925
WESTERN MARKETING ASSOC LLC
01/12/2026 AGN187899
MATT A. WHITTEN
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MATTHEW ROBERT WICHMAN
01/27/2026 PRN442594
SEAN DAVID WICKERSHAM
02/12/2026 PRN219894
BRIAN KENJI WILLIAMS
02/06/2026 PRN500992
MARCUS JEROME WILLIAMS
01/26/2026 PRN458348
DARREN WILLIS
02/09/2026 PRN490254
WINDSOR INSURANCE ASSOCIATES INC
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JAY WINESTEIN
02/19/2026 PRN85153
ROBERT JULIAN WOOD
02/11/2026 PRN115633
TIMOTHY WOOD
02/20/2026 PRN404968
WOODMEN INSURANCE AGENCY INC
09/04/2008 AGN100662
WORLD FINANCIAL GROUP INSURANCE AGENCY LLC
08/16/2007 AGN38174

Authority

Description Issue Date Termination Date Status
LIFE 03/01/1996 Active
HEALTH 03/01/1996 Active
VARIABLE LIFE 03/01/1996 Active
VARIABLE ANNUITY 03/01/1996 Active
VARIABLE ANNUITY 11/15/1993 02/05/1996 Terminated
VARIABLE LIFE & ANNUITY 02/05/1996 03/01/1996 Terminated
HEALTH 01/01/1901 07/01/1995 Terminated
LIFE AND HEALTH 01/01/1901 03/01/1996 Terminated
LIFE 01/01/1901 07/01/1995 Terminated

Contacts

Type Contact
PRODUCER LICENSING CONTACT KATHRYN EAKRIGHT
KATHRYN EAKRIGHT
1 AMERICAN ROW
HARTFORD, CT 06103-2801
Phone: +1 (651) 738-4030
Email: kathryn.eakright@talcottresolution.com
SERVICE OF PROCESS CORPORATION SERVICE COMPANY
45 MEMORIAL CIR
AUGUSTA, ME 04330-6400
Phone: +1 (800) 927-9800
Fax: +1 (302) 636-5454
Email: sop@cscglobal.com

License/Disciplinary Action

Case Action Taken Date
RIRS-315 Consent Order 01/15/1997

GENERAL INFORMATION

NAIC Information

National Producer Number (NPN):
71153

An active license/permit may still be subject to limitations and restrictions as a result of disciplinary action imposed. Please contact the specific licensing board about specific disciplinary actions.

Date: 04/18/2026 03:02:49 PM