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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_RES 2022-11-14
ME RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2022-11-14
  • ME RA
    APPROVED
    Since 2017-03-25

Branch Locations

75 Leighton Road Bldg 3, Falmouth, ME 04105 • 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
OrganizationCityStateFromTo
Metlife Securities Inc. Brunswick ME 01/2015 03/2017
Mass Mutual Life Insurance Company Falmouth ME 07/2016 Present
Mml Investors Services, Llc Falmouth ME 03/2017 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Brunswick, ME
  • 07/2016 → Present
    Mass Mutual Life Insurance Company
    Falmouth, ME
  • 03/2017 → Present
    Falmouth, ME
Previous Registrations
  • 2011-04-05 → 2018-02-01
    Overland Park,, KS
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Falmouth, ME
    Brunswick, ME
    Falmouth, ME
    Brunswick, ME
  • 2007-10-01 → 2015-01-02
    New England Securities
    Brunswick, ME
    Falmouth, ME
  • 2006-01-05 → 2007-08-03
    Yarmouth, ME
    Topsham, ME
    Yarmouth, ME
    Yarmouth, ME
    Bath, ME
  • 2002-11-01 → 2003-12-01
    Msi Financial Services, Inc.
    Lewiston, ME
Other Businesses

(1) Name: Jonathan W. Hiltz Inv rel: Y Add: 75 Leighton Rd. Bldg 3 Falmouth ME 04105 Nature: NonMMLIA Insurance Brokerage Position: Agent Start date: 07/2007 No. HR/MO:0 No. HR/MO during sec trading: 0 Describe duties: Independent Insurance Agent selling Disability, Life/Accident/Health, LTC from business address

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2005-02-25
S65 Uniform Investment Adviser Law Examination 2002-10-24
  • S63 Uniform Securities Agent State Law Examination
    2005-02-25
  • S65 Uniform Investment Adviser Law Examination
    2002-10-24
Designations

View on SEC IAPD

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