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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2017-03-25
NH RA APPROVED 2017-03-25
  • ME RA
    APPROVED
    Since 2017-03-25
  • NH RA
    APPROVED
    Since 2017-03-25

Branch Locations

1137 Main Street Building A, Pob 1690, Sanford, ME 04073 • United States

Springvale, ME • 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. Portsmouth NH 09/2001 03/2017
Mml Investors Services, Llc Sanford ME 03/2017 Present
Mass Mutual Life Insurance Company Sanford ME 07/2016 Present
  • 09/2001 → 03/2017
    Metlife Securities, Inc.
    Portsmouth, NH
  • 03/2017 → Present
    Sanford, ME
  • 07/2016 → Present
    Mass Mutual Life Insurance Company
    Sanford, ME
Previous Registrations
  • 2015-08-20 → 2018-02-01
    Sanford, ME
    Overland Park,, KS
  • 2010-09-22 → 2017-03-25
    Msi Financial Services, Inc.
    Exeter, NH
    Sanford, ME
    Exeter, NH
    Dover, NH
Other Businesses

(1)Name: Chad Liston Inv rel: Y Add: 1048 Main Street Sanford ME 04073 Nature: Individual Life, Group Life, and Fixed Annuity Position: Agent Start date: 06/01/2020 No. HR/MO: 5 No. HR/MO during sec trading: 4 (2)Name: Chad Liston Inv rel: Y Add: North Myrtle Beach, SC 29582 Nature: Simple Rental Property Position: Owner Start date: 06/01/2025 No. HR/MO: 0 No. HR/MO during sec trading: 0 Duties: Pay the bills and collect revenue. Day to day operations are conducted by the property management company. (3)Name: Shingle Mill, LLC Inv rel: Y Add: New Vineyard, ME 04956 Nature: LLC used for real estate/short term rental Position: Member of LLC Start date: 01/01/2027 No. HR/MO: 0 No. HR/MO during sec trading: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-08-16
S63 Uniform Securities Agent State Law Examination 2001-11-06
  • S65 Uniform Investment Adviser Law Examination
    2010-08-16
  • S63 Uniform Securities Agent State Law Examination
    2001-11-06

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