Seth Raynor Waltz

Current Employers

Mml Investors Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-01-14

TX RA
APPROVED_RES

Since 2020-01-14

Branch Locations

140 Kendrick Street Suite C310, Needham, MA 02494 • 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Metlife Securities Inc.	Boston	MA	01/2015	03/2017
Mml Investors Services, Llc	Needham	MA	03/2017	Present
Mass Mutual Life Insurance Company	Needham	MA	07/2016	Present

01/2015 → 03/2017

Metlife Securities Inc.

Boston, MA
03/2017 → Present

Mml Investors Services, Llc

Needham, MA
07/2016 → Present

Mass Mutual Life Insurance Company

Needham, MA

Previous Registrations

2011-01-20 → 2016-07-28

Mariner

Overland Park,, KS
2008-05-08 → 2008-12-31

New England Securities

Boston, MA

Wellesley, MA
2006-11-20 → 2007-04-30

Ameriprise Financial Services, Llc

Tinley Park, IL

Boston, MA

Boston, MA

Other Businesses

Name: Seth Waltz Inv rel: Y Add: 140 Kendrick Street, Building C, 3rd Floor East, Needham, MA 02494 Nature: Outside Insurance; Property/Casualty. Individual and Group Life, Individual and Group Health. Fixed Annuity, Disability. Position: Sales/Agent Start date: 11/2011 No. HR/MO: 1 No. HR/MO during sec trading: 1

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-11-06

S66 Uniform Combined State Law Examination

2002-11-06

View on SEC IAPD