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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-14
  • NY RA
    APPROVED
    Since 2021-06-14

Branch Locations

9920 4Th Avenue Suite 303, Brooklyn, NY 11209 • United States

Staten Island, NY • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Mass Mutual Life Insurance Company Brooklyn NY 06/2012 Present
Mml Investors Services Brooklyn NY 07/2012 Present
  • 06/2012 → Present
    Mass Mutual Life Insurance Company
    Brooklyn, NY
  • 07/2012 → Present
    Mml Investors Services
    Brooklyn, NY
Previous Registrations
  • 2008-04-16 → 2012-04-27
    Msi Financial Services, Inc.
    Staten Island, NY
    Staten Island, NY
    Edison, NJ
    Staten Island, NY
Other Businesses

(1) NAME: Dalton Education INV REL: N ADD: At Residential Address NATURE: Other - Online and Live Classroom teaching of CFP Certification Courses POSITION: Faculty teaching CFP Certification Courses START DATE: 01/01/2016 NO. HR/MO:12 NO. HR/MO DURING SEC TRADING: 0. (2) NAME: New York University INV REL: N ADD: 11 West 42nd Street, New York, NY 10036 NATURE: OTHER - Live Classroom teaching of CFP Certification Courses POSITION: Faculty Position at New York University START DATE: 03/01/2015 NO. HR/MO: 12 NO. HR/MO DURING SEC TRADING: 0. (3) NAME: CUNY College of Staten Island INV REL: N ADD: 2800 Victory Blvd, Staten Island, NY 10314 NATURE: Other - Live Classroom teaching of Undergraduate Finance, Accounting, & Economics Courses POSITION: Faculty Position at CUNY College of Staten Island 10314 START DATE: 09/01/2015 NO. HR/MO: 12 NO. HR/MO DURING SEC TRADING: 0. (4) NAME: First Call Tax Advocates Corporation INV REL: Y ADD: 9 Deep Run Court Island, Morganville NJ 07751 NATURE: Other - CPA/Tax Preparation POSITION: Sales, Ownership, Owner of corporate entity START DATE: 01/22/2019 NO. HR/MO: 12 NO. HR/MO DURING SEC TRADING: 0.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-03-25
S63 Uniform Securities Agent State Law Examination 2002-09-10
  • S65 Uniform Investment Adviser Law Examination
    2003-03-25
  • S63 Uniform Securities Agent State Law Examination
    2002-09-10
Designations

View on SEC IAPD

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