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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2018-08-03
NC RA APPROVED 2004-09-20
  • TX RA
    APPROVED
    Since 2018-08-03
  • NC RA
    APPROVED
    Since 2004-09-20

Branch Locations

101 N Mcdowell Street Suite 112, Charlotte, NC 28204 • 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
Massmutual Life Insurance Co Charlotte NC 03/2004 Present
Mml Investor Services, Llc Charlotte NC 03/2004 Present
  • 03/2004 → Present
    Massmutual Life Insurance Co
    Charlotte, NC
  • 03/2004 → Present
    Mml Investor Services, Llc
    Charlotte, NC
Other Businesses

(1)NAME: PLATTS FLATS, LLC INV REL: Y, ADDRESS: RESIDENTIAL ADDRESS NATURE: RENTAL PROPERTY, POSITION: OWNER, START DATE: 10/1/2006, NO HR/MO 2, NO HR/MO DUR TRADING 2, DUTIES: MANAGE PROPERTY (2)NAME: SPECIAL NEEDS KNOWLEDGE INV REL: N, ADDRESS: RESIDENTIAL ADDRESS NATURE: INFORMATION WEBSITE FOR FAMILIES THAT HAVE LOVED ONE WITH SPECIAL NEEDS, POSITION: OWNER, START: 7/1/2015, NO HR/MO 3, NO HR/MO DUR TRADING 2. (3) A SPECIAL NEEDS PLAN INV REL: Y ADD: 101 N. MCDOWELL STREET SUITE 112 CHARLOTTE, NC 28204 NATURE: INDIVIDUAL LIFE POSITION: AGENT START DATE: 1/1/2011 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 1 (4)NAME: KAJE PROPERTIES, LLC INV REL: Y ADD: 101 N. MCDOWELL STREET SUITE 112 CHARLOTTE, NC 28204 NATURE: REAL ESTATE POSITION: OWNER START DATE: 3/1/2017 NO HRS/MO: 1 NO HRS/MO TRADING TIME: 0 (5) NAME: KMAC PROPERTIES LLC INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: RENTAL PROPERTY POSITION: OWNER START DATE: 06/23/2022 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: ONGOING MANAGEMENT OF PROPERTY (6) NAME: A SPECIAL NEEDS PLAN, INC, INV REL: Y, ADD: 101 N. MCDOWELL STREET, SUITE 112, CHARLOTTE, NC 28204, NATURE/DUTIES: BUSINESS ENTITY FOR DBA, POSITION: OWNER, START DATE: 01/01/2025, NO. HR/MO: 0, NO. HR/MO DURING SEC TRADING: 0 (7) NAME: A SPECIAL NEEDS SUPPORT, LLC, INV REL: Y, ADD: RESIDENTIAL ADDRESS, NATURE: PHONE APP, POSITION: OWNER, START DATE: 11/01/2025, NO. HR/MO: 10, NO. HR/MO DURING SEC TRADING: 2, DUTIES: RUN LOGISTICS FOR APP, WORK WITH APP DEVELOPER ENSURE APP RUNS SMOOTHLY, ASSIST CLIENTS IN USING APP

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-09-01
S63 Uniform Securities Agent State Law Examination 2004-03-30
  • S65 Uniform Investment Adviser Law Examination
    2004-09-01
  • S63 Uniform Securities Agent State Law Examination
    2004-03-30

View on SEC IAPD

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