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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 2024-10-02
TN RA APPROVED 2019-01-29
  • TX RA
    APPROVED_RES
    Since 2024-10-02
  • TN RA
    APPROVED
    Since 2019-01-29

Branch Locations

8115 Isabella Lane Suite 5, Brentwood, TN 37027 • 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
Allstate Insurance Company Franklin TN 08/2008 12/2016
Allstate Financial Advisors, Llc Franklin TN 08/2008 01/2017
Pruco Securities, Llc Franklin TN 12/2016 12/2018
The Prudential Insurance Company Of America Franklin TN 12/2016 10/2018
Massmutual Life Insurance Co Brentwood TN 12/2018 Present
Mml Investors Services, Llc Brentwood TN 01/2019 Present
Allstate Financial Services, Llc Franklin TN 08/2008 01/2017
  • 08/2008 → 12/2016
    Allstate Insurance Company
    Franklin, TN
  • 08/2008 → 01/2017
    Franklin, TN
  • 12/2016 → 12/2018
    Franklin, TN
  • 12/2016 → 10/2018
    The Prudential Insurance Company Of America
    Franklin, TN
  • 12/2018 → Present
    Massmutual Life Insurance Co
    Brentwood, TN
  • 01/2019 → Present
    Brentwood, TN
  • 08/2008 → 01/2017
    Allstate Financial Services, Llc
    Franklin, TN
Previous Registrations
Other Businesses

(1) NAME: N/A INV REL: Y ADDR: AT RESIDENTIAL ADDRESS NATURE: CPA/TAX PREPARATION POSITION: ENROLLED AGENT, ACTIVE STATUS START: 3/1/2008 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 0. (2) NAME: DAVID MICHAEL CAPOZZI INV REL: N ADDR: AT RESIDENTIAL ADDRESS NATURE: NOTARY, STATE OF TENNESSEE POSITION: NOTARY PUBLIC START: 8/1/1998 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 0. (3) NAME: N/A INV REL: Y ADDR: AT RESIDENTIAL ADDRESS NATURE: POST EMPLOYMENT TRAIL COMMISSIONS POSITION: RECEIVE TRAIL COMMISSIONS, FIXED LIFE ONLY START: 1/20/2017 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 0. (4) NAME: DAVID M CAPOZZI, INV REL: Y, ADD: 8115 ISABELLA LANE, SUITE 5, BRENTWOOD, TN 37027, NATURE: OUTSIDE INSURANCE SALES, POSITION: INSURANCE BROKER, START DATE: 7/1/2025, NO. HR/MO: 2, NO. HR/MO DURING SEC TRADING: 2, DUTIES: Life, Disability, Long-term care, Fixed annuities, Health

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-06-15
S63 Uniform Securities Agent State Law Examination 2004-07-12
  • S66 Uniform Combined State Law Examination
    2009-06-15
  • S63 Uniform Securities Agent State Law Examination
    2004-07-12
Other Names
  • David Michael Capozzi
  • David Capozzi

View on SEC IAPD

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