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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2017-03-25
  • NC RA
    APPROVED
    Since 2017-03-25

Branch Locations

4000 Westchase Blvd Suite 400, Raleigh, NC 27607 • United States

Disclosures

2 disclosure categories 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 Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc Raleigh NC 10/2009 03/2017
Massachusetts Mutual Life Insurance Company Raleigh NC 07/2016 Present
Mml Investors Services, Llc Raleigh NC 03/2017 Present
  • 10/2009 → 03/2017
    Metlife Securities Inc
    Raleigh, NC
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Raleigh, NC
  • 03/2017 → Present
    Raleigh, NC
Previous Registrations
  • 2009-10-27 → 2017-03-25
    Msi Financial Services, Inc.
    Raleigh, NC
  • 2008-08-01 → 2009-01-09
    Durham, NC
    Morrisville, NC
    Morrisville, NC
  • 2007-06-15 → 2008-08-01
    1717 Capital Management Company
    Durham, NC
  • 2007-01-05 → 2007-05-11
    Questar Asset Management, Inc.
    Research Triangle Park, NC
  • 2003-10-15 → 2006-06-16
    Usallianz Securities, Inc.
    Cornelius, NC
    Roseville, MN
    Durham, NC
    Leesburg, VA
    Durham, NC
  • 2001-12-31 → 2003-11-10
    Raleigh, NC
Other Businesses

(1) NAME: RONALD DAVIS; INV REL: Y; ADDR: 4000 WESTCHASE BLVD SUITE 400 RALEIGH NC 27607; NATURE: OUTSIDE INSURANCE SALES; POSITION: INSURANCE BROKER; START DATE: 10/01/2003; NO. HR/MO: 1; NO. HR/MO DURING SEC TRADING: 1; DUTIES: DENTAL, FIXED ANNUITIES, HEALTH, LIFE (TERM/UNIVERSAL/WHOLE), PROPERTY AND CASUALTY (HOME OWNERS, AUTO, ETC.).

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-05-22
S63 Uniform Securities Agent State Law Examination 1992-11-02
  • S65 Uniform Investment Adviser Law Examination
    1997-05-22
  • S63 Uniform Securities Agent State Law Examination
    1992-11-02
Other Names
  • Ron Davis
  • Ronald Davis
  • Ronald C Davis
  • Ron C Davis

View on SEC IAPD

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