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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 2015-07-10
OH RA APPROVED 2007-05-04
  • TX RA
    APPROVED_RES
    Since 2015-07-10
  • OH RA
    APPROVED
    Since 2007-05-04

Branch Locations

7659 King's Pointe Road, Toledo, OH 43617 • 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
Mml Investors Services, Llc Toledo OH 06/2002 Present
Mass Mutual Life Insurance Company Toledo OH 04/2002 Present
Other Businesses

NAME: DANIEL PEFFLEY INV REL: Y ADD: 7659 KINGS POINTE ROAD TOLEDO, OH 43617 NATURE: LIFE AND HEALTH POSITION: SALES START DATE: 2003 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 5 (2) NAME: A & D DEVELOPMENT INV REL: Y ADD: PO BOX 352015 TOLEDO, OH 43635 NATURE: RENTAL PROPERTY POSITION: OWNER START DATE: 2006 NO. HR/MO: 4 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: MANAGE PROPERTIES (3)NAME: DANIEL PEFFLEY INV REL: N ADD: 5212 HILL AVENUE TOLEDO, OH. 43615 NATURE: COLLEGE INSTRUCTOR POSITION: INDEPENDENT CONTRACTOR START DATE: 2/2011 NO. HR/MO: 12 NO. HR/MO DURING SEC TRADING: 12 (4)NAME:DANIEL PEFFLEY, INV REL:N ADDR: 2801 W BANCROFT ST, TOLEDO OH 43615, NATURE: BOARD THAT DISCUSSES LOCAL COMMERCE AND HELPS THE UNIVERSITY COACH GRADUATES ON THE LOCAL ECONOMY, POSITION: FINANCE DEPARTMENT BOARD MEMBER, START: 4/1/2008, NO HR/MO: >1 NO HR/MO DUR TRADING:0, DUTIES: MEET TWICE A YEAR WITH OTHER BUSINESS OWNERS/BOARD MEMBERS TO DISCUSS AND GIVE FEEDBACK ON LOCAL BUSINESS COMMUNITY. THIS INFORMATION IS USED TO HELP PROFESSORS AND COUNSELORS PREPARE STUDENTS IN THE BUSINESS AND FINANCE CURRICULUM FOR BEING HIRED BY LOCAL BUSINESSES.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2003-06-20
  • S63 Uniform Securities Agent State Law Examination
    2003-06-20

View on SEC IAPD

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