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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
GA RA APPROVED 2014-04-16
  • GA RA
    APPROVED
    Since 2014-04-16

Branch Locations

6 Concourse Pkwy Suite 2700, Atlanta, GA 30328 • 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massmutual Life Insurance Co Atlanta GA 01/2014 Present
Mml Investors Services, Llc Atlanta GA 03/2014 Present
Previous Registrations
Other Businesses

(1) NAME: MORRIS & MIDDLETON LLC, INV REL: Y, ADDR: 2801 BUFORD HIGHWAY, SUITE 180, ATLANTA, GA 30329, NATURE: LAW FIRM, POSITION: MANAGING ATTORNEY, START: 1/1/2014, NO HR/MO: 160, NO HR/MO DUR TRADING: 120. (2) NAME: EVERETT LEE MORRIS IV, INV REL: Y, ADDR: AT RESIDENTIAL ADDRESS, NATURE: SIMPLE RENTAL PROPERTY, POSITION: OWNER, START: 5/21/2016, NO HR/MO: 4, NO HR/MO DUR TRADING: 0.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2014-03-24
  • S66 Uniform Combined State Law Examination
    2014-03-24
Designations

View on SEC IAPD

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