Nicholas Thomas Auriemma

Current Employers

Mml Investors Services, Llc

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

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2019-11-07

CT RA
APPROVED

Since 2019-11-07

Branch Locations

Milford, CT • United States

6 Corporate Drive, Shelton, CT 06484 • 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

Organization	City	State	From	To
National Life Group	Montpelier	VT	12/2014	07/2019
Equity Services, Inc	Montpelier	VT	03/2016	07/2019
Massmutual Life Insurance Co	Shelton	CT	07/2019	Present
Mml Investors Services, Llc	Shelton	CT	07/2019	Present

12/2014 → 07/2019

National Life Group

Montpelier, VT
03/2016 → 07/2019

Equity Services, Inc

Montpelier, VT
07/2019 → Present

Massmutual Life Insurance Co

Shelton, CT
07/2019 → Present

Mml Investors Services, Llc

Shelton, CT

Other Businesses

NAME: NICHOLAS AURIEMMA INV REL: Y ADD: RESIDENTIAL ADD NATURE: INDIVIDUAL LIFE/HEALTH, GROUP LIFE/HEALTH, FIXED ANNUITIES, LONG-TERM CARE POSITION: AGENT START DATE: 10/2001 NO HRS/MO: 8 NO HRS/MO DUR TRADING: 8

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2019-10-21
S63	Uniform Securities Agent State Law Examination	2003-03-29

S65 Uniform Investment Adviser Law Examination

2019-10-21
S63 Uniform Securities Agent State Law Examination

2003-03-29