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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-14
  • NY RA
    APPROVED
    Since 2021-06-14

Branch Locations

38 Broad St, Hamilton, NY 13346 • United States

Hamilton, NY • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc. Norwich NY 01/2015 03/2017
Massmutual Life Insurance Co Hamilton NY 07/2016 Present
Mml Investors Services, Llc Hamilton NY 03/2017 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Norwich, NY
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Hamilton, NY
  • 03/2017 → Present
    Hamilton, NY
Other Businesses

1) Name: HFP Realty LLC Inv rel: Y Add: At Residential Address Nature: Simple Rental Property Position: Managing Member of LLC Start date: 01/01/2018 No. HR/MO: 10 No. HR/MO during sec trading: 5 Describe duties: Management of rental property 2) Name: Hearth Financial Partners Inv rel: Y Add: 38 Broad St Hamilton NY 13346 Nature: NON MMLIA Insurance Brokerage Position: Financial Advisor Start date: 01/01/2015 No. HR/MO: 5 No. HR/MO during sec trading: 5 Describe duties: sales with outside brokerage company 3) Name: Alexandra Erath Inv rel: Y Add: At Residential Address Nature: Simple Rental Property Position: Homeowner Start date: 04/01/2012 No. HR/MO: 6 No. HR/MO during sec trading: 1 Describe duties: Short-term rentals of rooms in personal residence, as well as the entire home a few times per year for special events. 4) Name: Brass Rings Tools Inv rel: Y Add: At Residential Address Nature: Seminar Consulting Position: Consultant Start date: 03/01/2019 No. HR/MO: 8 No. HR/MO during sec trading: 8 Describe duties: Working as a consultant with Brass Rings Tools to put on seminars about business growth and development strategies for financial advisors 5) A.C. Erath Consulting, Inv Rel: Y Addr: 38 Broad Street, Hamilton NY 13346, Nature: Consulting, Position: Owner, Start: 4/24/2024, No Hr/Mo: 5 No Hr/Mo Dur Trading: 5, Duties: Assisting small family businesses with family and business issues such as continuation and mediation between family and business owners.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2012-09-20
  • S63 Uniform Securities Agent State Law Examination
    2012-09-20
Other Names
  • Alexandra Erath

View on SEC IAPD

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