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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2022-08-22 |
| RI | RA | APPROVED | 2019-04-23 |
Branch Locations
501 Wampanoag Trail Suite 200, East Providence, RI 02915 • United States
301 Metro Center Blvd Suite 205, Warwick, RI 02886 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities Inc | East Providence | RI | 04/2016 | 03/2017 |
| Mml Investors Services, Llc | Warwick | RI | 03/2017 | Present |
| Mass Mutual Life Insurance Company | Warwick | RI | 07/2016 | Present |
(1)Name: Neri Financial Inv rel: Y Add: 107 Touisset Rd warren RI 02885 Nature: Other; LLC Position: Partner Start date: 03/17/2022 No. HR/MO: 2 No. HR/MO during sec trading: 0 Describe duties: Used only for managing and paying expenses. (2)Name: Neri Property Group, LLC Inv rel: Y Add: 107 Touisset Rd Warren RI 02885 Nature: Rental Income; Rental Property Position: Owner Start date: 04/01/2022 No. HR/MO: 10 No. HR/MO dur trading: 0 Describe duties: Managing cash flow, answering questions from tenants (3)Name: Baystate Financial Inv rel: Y Add: 501 Wampanoag Trail Suite 200 East Providence RI 02915 Nature: Outside Insurance; Life, Disability, Long term care, and Fixed annuities Position: Financial Advisor Start date: 04/01/2022 No. HR/MO: 40 No. HR/MO dur trading: 40 Describe duties: Helping clients with fixed insurance needs.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2019-02-19 |
| S63 | Uniform Securities Agent State Law Examination | 2004-07-21 |
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