Nicholas Cacace

Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Mml Investors Services, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-14

NY RA
APPROVED

Since 2021-06-14

Branch Locations

Poughkeepsie, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Mass Mutual Life Insurance Company	Poughkeepsie	NY	12/2013	Present
Mml Investors Services	Poughkeepsie	NY	02/2014	Present

12/2013 → Present

Mass Mutual Life Insurance Company

Poughkeepsie, NY
02/2014 → Present

Mml Investors Services

Poughkeepsie, NY

Other Businesses

NAME: NICHOLAS CACACE INV REL: Y ADD: 8 DRUM COURT, POUGHKEEPSIE NY 12603 NATURE:OUTSIDE INSURANCE POSITION: AGENT START DATE: 02/01/2002 NO. HR/MO: 8 NO. HR/MO DURING SEC TRADING: 8 DESCRIBE DUTIES: LIFE, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2005-11-08

S63 Uniform Securities Agent State Law Examination

2005-11-08

View on SEC IAPD