Anthony John Caputo

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

48 South Service Road Suite 400, Melville, NY 11747 • United States

Franklin Square, NY • 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
Mml Investors Services, Llc	East Meadow	NY	07/2000	Present
Massmutual Life Insurance Company	East Meadow	NY	07/2000	Present

07/2000 → Present

Mml Investors Services, Llc

East Meadow, NY
07/2000 → Present

Massmutual Life Insurance Company

East Meadow, NY

Other Businesses

NAME: ANTHONY J CAPUTO INV REL: Y ADDR: 48 SOUTH SERVICE ROAD, SUITE 400, MELVILLE, NY 11747 NATURE: INDIVIDUAL LIFE, HEALTH, GROUP LIFE, GROUP HEALTH POSITION: AGENT START DATE: 1998 NO HRS/MO: 25 NO HRS/MO DUR TRADING: 25.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1996-11-08

S63 Uniform Securities Agent State Law Examination

1996-11-08

Other Names

Anthony J Caputo

View on SEC IAPD