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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-14
  • NY RA
    APPROVED
    Since 2021-06-14

Branch Locations

38 Broad St, Hamilton, NY 13346 • 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
Metlife Securities Inc. Norwich NY 01/2015 03/2017
Massmutual Life Insurance Co Hamilton NY 07/2016 Present
Mml Investors Services, Llc Hamilton NY 03/2017 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Norwich, NY
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Hamilton, NY
  • 03/2017 → Present
    Hamilton, NY
Other Businesses

(1) Name: Bruce Erath Inv rel: N Add: At Residential Address Nature: Motivational Speaker Position: Speaker Start date: 1/1/2000 No. HR/MO: 5 No. HR/MO during sec trading: 5 Describe duties: I am paid a fee to speak. These are not seminars and are not given to prospective clients. There is no mention of Mass Mutual or any specific insurance product. The audiences are most often other agents. (2) Name: HFP Realty LLC Inv rel: Y Add: 38 Broad St Hamilton NY 13346 Nature: Simple Rental Property Position: member Start date: 01/01/2018 No. HR/MO: 2 No. HR/MO during sec trading: 2 Describe duties: co management rental property. (3) Name: Hearth Financial Partners LLC Inv rel: Y Add: 38 Broad St Hamilton NY 13346 Nature: Outside Insurance; Individual Life, Health, Group Life, Group Health Position: Sales/Ownership Start date: 01/01/2017 No. HR/MO: 160 No. HR/MO during sec trading: 160 (4)Name: HFP Consulting, Inv Rel:N Addr: @ Residential Address on File, Nature: Consulting with farms and other small family businesses, Position:Owner, Start:08/15/2021, No Hr/Mo:10 No Hr/Mo Dur Trading:10, Duties:Assisting farms and small family businesses with family and business issues such as business continuation and mediation between family and business owners. (5)Name: Chenango Memorial Hospital, Inv Rel: N Addr: 179 N Broad Street, Norwich NY 13815, Nature: Rural Hospital, Position: Chairman of the Board, Start: 6/1/2026 No Hr/Mo: 10 No Hr/Mo Dur Trading: 0 Duties:Preside over board meetings and confer with hospital CEO as needed.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1988-06-23
  • S63 Uniform Securities Agent State Law Examination
    1988-06-23

View on SEC IAPD

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