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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

2387 Ocean Avenue Suite 1G, Brooklyn, NY 11229 • United States

Brooklyn, NY • 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. New York NY 10/2001 03/2017
Mml Investors Services, Llc Brooklyn NY 03/2017 Present
Massachusetts Mutual Life Insurance Company Brooklyn NY 07/2016 Present
  • 10/2001 → 03/2017
    Metlife Securities, Inc.
    New York, NY
  • 03/2017 → Present
    Brooklyn, NY
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Brooklyn, NY
Other Businesses

Name: Steven Novick Inv rel: Y Add: 2387 Ocean Avenue, Suite 1G, Brooklyn, NY, 11229 Nature: Outside Insurance Position: Agent Start date: 01/2005 No. HR/MO: 0 No. HR/MO during sec trading: 0 Describe duties: Life, Accident, Health, Long-term Care, Property & Casualty, Disability, Fixed annuities (2) Name: First Financial Resources Group, LLC Inv rel: Y Add: 100 Spectrum Center Dr, Suite #400, Irvine, CA 92618 Nature: Minority Owner of an insurance producer group Position: Minority Owner Start date: 6/17/22 No. HR/MO: 0 No. HR/MO during sec trading: 0 Describe duties: No specific duties, responsibilities or obligations. By virtue of being a member of the insurance producers group I am also part owner. (3) Name: SN Agency Inc. Inv rel: Y Add: At Residential Address Nature: Created for tax purposes and administration Position: Owner Start date: 12/01/2021 No. HR/MO: 1 No. HR/MO during sec trading: 1 Describe duties: Administrative

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-11-22
  • S63 Uniform Securities Agent State Law Examination
    1999-11-22

View on SEC IAPD

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