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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2023-02-16
  • CT RA
    APPROVED
    Since 2023-02-16

Branch Locations

280 Congress St Suite 1300, Boston, MA 02210 • United States

Somers, CT • 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 Springfield MA 06/2020 07/2021
Massmutual Trust Company Springfield MA 01/2010 10/2021
Fisher Investments Somers CT 11/2021 01/2022
Massmutual Trust Company Windsor CT 01/2022 05/2025
Mml Investors Services, Llc Boston MA 02/2023 Present
Massmutual Life Insurance Co Boston MA 05/2025 Present
Previous Registrations
Other Businesses

NAME: Beacon Ridge Properties, LLC, INV REL: Y, ADD: At Residential Address, NATURE: Realtor/Real Estate, POSITION: Member, START DATE: 01/16/2026, NO. HR/MO: 12, NO. HR/MO DURING SEC TRADING: 0, DUTIES: Managing the books, Maintaining proper insurance for LLC and contractors

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2023-04-04
S65 Uniform Investment Adviser Law Examination 2021-11-05
  • S63 Uniform Securities Agent State Law Examination
    2023-04-04
  • S65 Uniform Investment Adviser Law Examination
    2021-11-05
Other Names
  • Chris Smith

View on SEC IAPD

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