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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NH RA APPROVED 2017-03-25
  • NH RA
    APPROVED
    Since 2017-03-25

Branch Locations

1 Park Avenue Suite 1A-2, Hampton, NH 03842 • 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
OrganizationCityStateFromTo
Metlifesecurities, Inc. Exeter NH 12/2003 03/2017
Mass Mutual Life Insurance Company Hampton NH 07/2016 Present
Mml Investors Services, Llc Hampton NH 03/2017 Present
  • 12/2003 → 03/2017
    Metlifesecurities, Inc.
    Exeter, NH
  • 07/2016 → Present
    Mass Mutual Life Insurance Company
    Hampton, NH
  • 03/2017 → Present
    Hampton, NH
Previous Registrations
  • 2015-09-16 → 2018-02-01
    Hampton, NH
    Overland Park,, KS
  • 2012-02-16 → 2017-03-25
    Msi Financial Services, Inc.
    Exeter, NH
    Exeter, NH
    Hampton, NH
Other Businesses

(1)Name: JSK Office, Inc Inv rel: Y Add: 1 Park Ave, Ste 1A-2 Hampton NH 03842 Nature: Simple Rental Property-Lease of commercial condo - office space Position: Joint owner with Sonja Dearden Start date: 04/2016 No. HR/MO: 1 No. HR/MO during sec trading: 0 Describe duties: Collect rent and pay the bills (2)Name: Jim Dearden Inv rel: N Add: South Ridge Center Newry ME 04261 Nature: Other Position: Other - Part time employment at Sunday River Ski Resort Start date: 10/01/2012 No. HR/MO: 4 No. HR/MO during sec trading:0 Describe duties: working occasional days at Sunday River, often in marketing and events (3)Name: James Dearden Inv rel: Y Add: 1 Park Ave, Ste 1A-2 Hampton NH 03842 Nature: Individual Life, Property/Casualty, Health, Group Health, Dental, Group DI, Fixed Annuities, Life/Accident/Health, P&C Position: Reported on Schedule C on tax return under James Dearden Ins Sales Start date: 02/01/2012 No. HR/MO:16 No. HR/MO during sec trading: 8 (4)Name: James Dearden Inv rel: Y Add: 681 Songo Pond Rd Albany Twp ME 04217 Nature: Simple Rental Property-Vacation rentals and LT rental units Position: Owner Start date: 11/1/1995 No. HR/MO: 10 No. HR/MO during sec trading: 1 Describe duties: Rent weekend, weekly, seasonal, and annual rentals (5)Name: Hampton Bay Insurance LLC Inv rel: Y Add: 1 Park Ave, Ste 1A-2 Hampton NH 03842 Nature: LLC for Fixed Insurance business Position: Member Start date: 01/01/2023 No. HR/MO: 1 No. HR/MO during sec trading: 1 Describe duties: Establishing and maintaining LLC (6)Name: James Dearden Inv rel: Y Add: 100 Winnacunnet Rd, Hampton, NH 03842 Nature: Political Office Position: Trustee of the Trust Funds Start date: 04/01/2024 No. HR/MO: 1 No. HR/MO during sec trading: 1 Describe duties: Safeguard the money in the trust funds. Comply with the provisions of the documents establishing the trusts. Review investment policy for trust funds annually. Ensure funds invested by the Advisor according to policy. Pay out the income and the principal according to the trust documents. Prepare and submit annual reports to the Town and to the State of NH.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-02-02
S63 Uniform Securities Agent State Law Examination 2003-12-19
  • S65 Uniform Investment Adviser Law Examination
    2012-02-02
  • S63 Uniform Securities Agent State Law Examination
    2003-12-19
Other Names
  • James Deardon
  • Jim Dearden

View on SEC IAPD

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