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Kurt Thomas Lippincott

Mml Investors Services, LLC

Springfield, MA

West Simsbury, CT

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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2022-09-21
  • CT RA
    APPROVED
    Since 2022-09-21

Branch Locations

1295 State Street, Springfield, MA 01111 • United States

West Simsbury, CT • 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
City National Rochdale New York NY 09/2014 09/2021
Massmutual Springfield MA 09/2021 Present
Mml Investors Services, Llc Larchmont NY 10/2021 Present
  • 09/2014 → 09/2021
    City National Rochdale
    New York, NY
  • 09/2021 → Present
    Massmutual
    Springfield, MA
  • 10/2021 → Present
    Mml Investors Services, Llc
    Larchmont, NY
Previous Registrations
  • 2014-09-09 → 2021-10-06
    Rbc Rochdale, Llc
    New York, NY
    New York, NY
  • 2003-08-28 → 2014-09-10
    Credit Suisse Securities (Usa) Llc
    New York, NY
    New York, NY
  • 2000-10-30 → 2003-09-15
    Ubs Financial Services Inc.
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-10-27
  • S66 Uniform Combined State Law Examination
    1999-10-27
Designations
Other Names
  • Kurt Thomas Lippicott

View on SEC IAPD

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Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · SPRINGFIELD, MA
MORGAN STANLEY · Springfield, MA
LPL FINANCIAL LLC · SPRINGFIELD, MA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SPRINGFIELD, MA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SPRINGFIELD, MA
HEAPHY INVESTMENTS, LLC · SPRINGFIELD, MA
HEAPHY INVESTMENTS, LLC · Springfield, MA
HEAPHY INVESTMENTS, LLC · SPRINGFIELD, MA

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