Stephen Charles Brody

Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/1987 → 03/2017
  Metlife Securities Inc.
  Greenville, NC
• 07/2016 → Present
  Massmutual Life Insurance Co
  Greenville, NC
• 03/2017 → Present
  Mml Investors Services, Llc
  Greenville, NC

Previous Registrations

• 2001-12-31 → 2017-03-25
  Msi Financial Services, Inc.
  Greenville, NC

Other Businesses

(1) Name: Financial Literacy Education Org Inv rel: N Add: At residential address Nature: Provide education materials related to financial literacy Position: Owner, founder, author, trainer Start date: 2006 No. HR/MO: 5 No. HR/MO during sec trading: 0. (2) Name: Inspired Coaching Services Inv rel: N Add: At residential address Nature: Life coaching Position: Life coaching services Start date: 2010 No. HR/MO: 5 No. HR/MO during sec trading: 0. (3) Name: Creighton University Inv rel: N Add: At residential address Nature: Affiliated Faculty Position: Part-time adjunct faculty Start date: 3/2018 No. HR/MO: 10 No. HR/MO during sec trading: 0. (4) Name: Stephen Brody Inv rel: Y Add: 223 C Commerce St., Greenville, NC 27858 Nature: Outside Insurance Sales, Position: Insurance Broker, Start date: 8/9/2024 No Hrs/Mo: 0, No Hrs/Mo Dur Trading: 0, Duties: Life, Fixed Annuities, Disability (5) NAME: Clifton Street Holdings, LLC INV REL: Y ADD: Residential Address NATURE: Holding company for commercial real estate POSITION: Managing Partner START DATE: 01/15/2025 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: To maintain the space, manage the inflow (rental income) and outflow (mortgage payments, utilities, maintenance expenses, etc.) and file annual tax returns

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-08-26
• S63 Uniform Securities Agent State Law Examination
  1992-05-29

Other Names

• Steven Brody
• Steve Brody
• Stephen C Brody