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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

Rockville Centre, NY • United States

420 Lexington Avenue, 25Th Floor Suite 2510, New York, NY 10170 • 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
Guardian Woodbury NY 08/2015 07/2018
Park Ave Securities Woodbury NY 08/2015 07/2018
Massmutual Life Insurance Company New York NY 07/2018 Present
Mml Investors Services, Llc New York NY 08/2018 Present
  • 08/2015 → 07/2018
    Guardian
    Woodbury, NY
  • 08/2015 → 07/2018
    Park Ave Securities
    Woodbury, NY
  • 07/2018 → Present
    Massmutual Life Insurance Company
    New York, NY
  • 08/2018 → Present
    New York, NY
Previous Registrations
  • 2015-09-15 → 2018-07-17
    Woodbury, NY
  • 2002-06-11 → 2011-09-20
    Signator Investors, Inc.
    Albany, NY
    Westbury, NY
    Williamsville, NY
    Westbury, NY
    Albany, NY
Other Businesses

(1)NAME: WILLIAM HORAN INV REL: Y ADDR: 420 LEXINGTON AVENUE, SUITE 2510, NEW YORK, NY 10170 NATURE: OUTSIDE INSURANCE POSITION: SALES AGENT START: 07/01/2002 NO HRS/MO: 3 NO HRS/MO DUR TRADING: 1 DESCRIBE DUTIES: LIFE, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES, HEALTH, GROUP HEALTH. (2)NAME: CORE BUSINESS CONSULTANTS LLC, INV REL:Y ADDR:@ RESIDENTIAL ADDRESS ON FILE, NATURE: BUSINESS VALUATION/CONSULTING, POSITION:CONSULTANT/MEMBER, START: 7/2/2024, NO HR/MO:3 NO HR/MO DUR TRADING:1 DUTIES: ASSIST BUSINESS OWNER/PARTNER TO CREATE A RANGE OF VALUE BUSINESS VALUATION. THE VALUATION WILL BE THE PRIMARY BASIS FOR REVIEW BUY SELL, SUCCESSION PLAN AND HOW TO INCREASE VALUE. USING VALUE BUILDER ENGAGEMENT SOFTWARE I WILL CONSULT A LONG TERM 1-3 YEAR PROCESS TO PREPARE FOR EXIT.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-12-27
S63 Uniform Securities Agent State Law Examination 2000-01-12
  • S65 Uniform Investment Adviser Law Examination
    2000-12-27
  • S63 Uniform Securities Agent State Law Examination
    2000-01-12
Other Names
  • Biff Horan Iv
  • William H Horan Iv
  • William H Horan
  • William H Horan
  • Bill Horan

View on SEC IAPD

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