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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2022-01-05 |
| NY | RA | APPROVED | 2021-06-14 |
Branch Locations
400 Meridian Centre Suite #105, Rochester, NY 14618 • United States
Penfield, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities Inc | Rochester | NY | 12/2009 | 03/2017 |
| Mass Mutual Life Insurance Company | Rochester | NY | 07/2016 | Present |
| Mml Investors Services, Llc | Rochester | NY | 03/2017 | Present |
1) Name: Tracy L. Deer Inv rel: N Add: 400 Meridian Centre Suite 105 Rochester NY 14618 Nature: Other Position: Notary Public Start date: 09/27/2021 No. HR/MO: .5 No. HR/MO dur trading: .5 2) Name: MVDTLD, Inv Rel; Y Addr: @ residential address on file, Nature: LCC set up for IAR compensation purposes only, Position: n/a Start: 01/01/2023, No Hr/Mo:1 No Hr/Mo Dur Trading: 0 Duties: LLC established through which to run IAR compensation compensation. 3) NAME: Tracy Deer - Buffalo Regals Hockey Club INV REL: N ADD: Residential Address NATURE: Youth Hockey POSITION: Team Manager START DATE: 07/25/24 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: Schedules tournaments, manages games/practice schedule, manages roster, finances and fundraising for 9 year old youth hockey Team
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2010-01-11 |
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