James Michael Guardiola

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

1393 Veteran's Memorial Hwy Suite 307S, Hauppauge, NY 11788 • 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
Metlife Securities	Hauppauge	NY	07/2000	03/2017
Massmutual Life Insurance Co	Hauppauge	NY	07/2016	Present
Mml Investors Services, Llc	Hauppauge	NY	03/2017	Present

07/2000 → 03/2017

Metlife Securities

Hauppauge, NY
07/2016 → Present

Massmutual Life Insurance Co

Hauppauge, NY
03/2017 → Present

Mml Investors Services, Llc

Hauppauge, NY

Other Businesses

(1) NAME: JAMES GUARDIOLA INV REL: Y ADDR: 1393 VETERAN'S MEMORIAL HIGHWAY,SUITE 307S, HAUPPAUGE, NY 11788 NATURE: OUTSIDE INSURANCE - INDIVIDUAL LIFE, PROPERTY/CASUALTY, HEALTH, GROUP LIFE, GROUP HEALTH POSITION: AGENT START: 5/1/2018 NO HRS/MO: 5 NO HRS/MO DUR TRADING: 2. (2) NAME: JAMES M. GUARDIOLA INV REL: Y ADDR: 1393 VETERAN'S MEMORIAL HIGHWAY, SUITE 307S, HAUPPAUGE, NY 11788 NATURE: TRUSTEE POSITION: TRUSTEE START: 2/2019 NO HRS/MO: 4 NO HRS/MO DUR TRADING: 0.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1999-03-25

S63 Uniform Securities Agent State Law Examination

1999-03-25