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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2017-03-30
  • NC RA
    APPROVED
    Since 2017-03-30

Branch Locations

4000 Westchase Blvd Suite 210, Raleigh, NC 27607 • United States

201 N. Spence Avenue Suite 403, Goldsboro, NC 27534 • 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
Penn Mutual Life Insurance Company Horsham PA 09/2012 02/2017
Hornor, Townsend & Kent, Inc Horsham PA 10/2012 02/2017
Massachusetts Mutual Life Insurance Company Raleigh NC 02/2017 Present
Mml Investors Services, Llc Raleigh NC 03/2017 Present
  • 09/2012 → 02/2017
    Penn Mutual Life Insurance Company
    Horsham, PA
  • 10/2012 → 02/2017
    Hornor, Townsend & Kent, Inc
    Horsham, PA
  • 02/2017 → Present
    Massachusetts Mutual Life Insurance Company
    Raleigh, NC
  • 03/2017 → Present
    Raleigh, NC
Previous Registrations
Other Businesses

Name: Arbor P&C Inv Rel: Y Addr: 8228 Ridgeback Rd Apex, NC 27523 Nature: Other- P&C Insurance Position: Owner Start: 12/01/2021 No hrs/mo: 2 No hrs/mo dur sec trading: 0 Describe duties: Meet for monthly updates. I have no other responsibilities in this business.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-09-11
S63 Uniform Securities Agent State Law Examination 2012-11-30
  • S65 Uniform Investment Adviser Law Examination
    2014-09-11
  • S63 Uniform Securities Agent State Law Examination
    2012-11-30

View on SEC IAPD

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