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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2017-07-26
  • FL RA
    APPROVED
    Since 2017-07-26

Branch Locations

West Palm Beach, FL • United States

1295 State Street, Springfield, MA 01111 • 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
Ameriprise Financial Services, Inc. Minneapolis MN 06/2003 06/2017
Massachusetts Mutual Life Insurance Company Springfield MA 06/2017 Present
Mml Investors Services, Llc Springfield MA 07/2017 Present
  • 06/2003 → 06/2017
    Ameriprise Financial Services, Inc.
    Minneapolis, MN
  • 06/2017 → Present
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 07/2017 → Present
    Springfield, MA
Previous Registrations
  • 2003-11-18 → 2017-06-06
    Ft Lauderdale, FL
    Boca Raton, FL
    Minneapolis, MN
    Ft Lauderdale, FL
    Portsmouth, NH
    Minneapolis, MN
    Portsmouth, NH
    Palm Beach Gardens, FL
    Aventura, FL
Other Businesses

NAME: The Falcon's Nest, Inc.: DBA, The Falcon's Nest INV REL: N ADD: Residential Address NATURE: The Falcon's nest is a non-profit organization that raises funds on behalf of individuals, business and families of down syndrome POSITION: CEO/President START DATE: 01/01/2023 NO. HR/MO: 20 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: I run the organization and lead fundraising efforts.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-11-17
  • S66 Uniform Combined State Law Examination
    2003-11-17
Other Names
  • Brian Lee Mawhinney
  • Brian Mawhinney

View on SEC IAPD

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