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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 2019-03-12
OH RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2019-03-12
  • OH RA
    APPROVED
    Since 2017-03-25

Branch Locations

1956 Carter Road Suite 200, Cleveland, OH 44113 • United States

Akron, OH • 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
Metlife Securities Broadview Heights OH 11/2014 03/2017
Massmutual Life Insurance Co Cleveland OH 07/2016 Present
Mml Investors Services, Llc Cleveland OH 03/2017 Present
  • 11/2014 → 03/2017
    Metlife Securities
    Broadview Heights, OH
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Cleveland, OH
  • 03/2017 → Present
    Cleveland, OH
Previous Registrations
  • 2014-12-11 → 2017-03-25
    Msi Financial Services, Inc.
    Broadview Heights, OH
Other Businesses

(1) Name: Brent Affolter Inv rel: Y Add: At Residential Address Nature: Life, health, DI, LTC and fixed annuities insurance sales Position: Sales Start date: 01/19/2018 No. HR/MO: 5 No. HR/MO during sec trading: 5 Outside Insurance: Life, health, DI, LTC and fixed annuities (2) Name: Brent Affolter Inv rel: Y Add: At Residential Address Nature: P&C Insurance Position: Referrer Start date: 8/27/2018 No. HR/MO: 1 No. HR/MO during sec trading: 1 Describe duties: : Provide referrals to a P&C Firm for a flat fee (3) NAME: Affolter & Stephen LLC INV REL: Y ADD: Residential Address NATURE: LLC POSITION: Owner START DATE: 01/01/2021 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: LLC for tax filing purposes, business expenses and staff payroll.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2011-09-15
  • S63 Uniform Securities Agent State Law Examination
    2011-09-15

View on SEC IAPD

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