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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2017-03-25
  • FL RA
    APPROVED
    Since 2017-03-25

Branch Locations

4949 Southfork Dr, Lakeland, FL 33813 • 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 Tampa FL 03/2014 03/2017
Mml Investors Services, Llc Lakeland FL 03/2017 Present
Massmutual Life Insurance Company Lakeland FL 07/2016 Present
  • 03/2014 → 03/2017
    Metlife Securities Inc
    Tampa, FL
  • 03/2017 → Present
    Lakeland, FL
  • 07/2016 → Present
    Massmutual Life Insurance Company
    Lakeland, FL
Previous Registrations
  • 2016-04-07 → 2017-03-25
    Msi Financial Services, Inc.
    Lakeland, FL
    Tampa, FL
Other Businesses

1)NAME:MARK ROTHMAN, INV REL:Y ADDR:4949 SOUTHFORK DR LAKELAND FL 33813 NATURE:LIFE INSURANCE, ANNUITIES, POSITION:AGENT START:02/27/2017 NO HR/MO:5 NO HR/MO DUR TRADING:5. 2)NAME:MARK ROTHMAN, INV REL:N ADDR:@RESIDENTIAL ADDRESS ON RECORD, NATURE:TALENT POSITION, POSITION:TALENT FOR VARIOUS AGENCIES WHO CONTRACT WITH MY FAMILY AND I TO MODEL FOR THEIR PROJECTS, START:8/1/2016 NO HR/MO:5 NO HR/MO DUR TRADING:0-5 3)NAME:MARK ROTHMAN LLC INV REL:Y ADDR:@RESIDENTIAL ADDRESS ON REDCORD, NATURE:LLC CREATED FOR INDIVIDUAL TAX PURPOSES POSITION:MARK ROTHMAN LLC START:09/24/2018 NO HR/MO:0 NO HR/MO DUR TRADING:0. 4)NAME:MARK ROTHMAN, INV REL:N ADDR:3482 AIRFIELD DR W LAKELAND FL 33811 NATURE:NON PROFIT FOUNDATION, POSITION:DIRECTOR START:1/10/2020 NO HR/MO:1 NO HR/MO DUR TRADING:0. 5)NAME:FIRST BAPTIST CHURCH PLANT CITY, INV REL:Y ADDR:3309 JAMES L REDMAN PKWY, PLANT CITY FL 33566 NATURE:GOSPEL MINISTRY POSITION:DEACON CHAIRMAN/PRESIDENT OF THE BOARD OF DIRECTORS, START:09/01/2019 NO HR/MO:8 NO HR/MO DUR TRADING:0 6)NAME: MARK ROTHMAN, CFP, INV REL:Y ADDR: 4949 SOUTHFORK DR, LAKELAND FL 33813, NATURE:OUTSIDE INSURANCE, POSITION: FINANCIAL PLANNER, START: 5/22/2023, NO HR/MO: 5 NO HR/MO DUR TRADING:5 DUTIES: LIFE, DISABILITY, FIXED ANNUITIES, STRUCTURED ANNUITIES. 7)NAME:JUICE KINGS LLC, DBA NEKTER PLANT CITY, INV REL: Y ADDR: @ RESIDENTIAL ON FILE, NATURE: SMOOTHIE & JUICE BAR, POSITION: MANAGER START: 10/1/2023, NO HR/MO: 10 NO HR/MO DUR TRADING:0 DUTIES: I AM INVESTOR AND OWNER OPERATOR.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-03-25
S63 Uniform Securities Agent State Law Examination 2002-01-22
  • S66 Uniform Combined State Law Examination
    2016-03-25
  • S63 Uniform Securities Agent State Law Examination
    2002-01-22
Designations

View on SEC IAPD

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