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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 2024-12-19
  • NY RA
    APPROVED
    Since 2024-12-19

Branch Locations

Garden City, NY • United States

250 West 34Th Street One Penn Plaza Ste 2035, New York, NY 10119-0002 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Kasina, Llc New York NY 03/2012 06/2017
Unemployed Garden City NY 06/2017 05/2019
Stifel Nicholaus & Co. Inc. Garden City NY 05/2019 11/2024
Mml Investors Services, Llc New York NY 12/2024 Present
Massmutual Life Insurance Company New York NY 10/2024 Present
  • 03/2012 → 06/2017
    Kasina, Llc
    New York, NY
  • 06/2017 → 05/2019
    Unemployed
    Garden City, NY
  • 05/2019 → 11/2024
    Stifel Nicholaus & Co. Inc.
    Garden City, NY
  • 12/2024 → Present
    New York, NY
  • 10/2024 → Present
    Massmutual Life Insurance Company
    New York, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-08-28
S63 Uniform Securities Agent State Law Examination 2019-12-20
S65 Uniform Investment Adviser Law Examination 1993-01-05
  • S66 Uniform Combined State Law Examination
    2020-08-28
  • S63 Uniform Securities Agent State Law Examination
    2019-12-20
  • S65 Uniform Investment Adviser Law Examination
    1993-01-05
Other Names
  • Joseph John Dolan
  • Joseph Dolan

View on SEC IAPD

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