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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
NJ RA APPROVED 2017-03-25
  • NY RA
    APPROVED
    Since 2021-06-14
  • NJ RA
    APPROVED
    Since 2017-03-25

Branch Locations

54 South Liberty Drive 2Nd Floor, Stony Point, NY 10980 • 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
Mml Investors Services, Llc Stony Point NY 03/2017 Present
Msi Financial Services Middletown NY 07/2016 03/2017
Massmutual Life Insurance Co Stony Point NY 03/2017 Present
  • 03/2017 → Present
    Stony Point, NY
  • 07/2016 → 03/2017
    Msi Financial Services
    Middletown, NY
  • 03/2017 → Present
    Massmutual Life Insurance Co
    Stony Point, NY
Previous Registrations
  • 2014-03-11 → 2017-03-25
    Msi Financial Services, Inc.
    Stony Point, NY
    Middletown, NY
  • 2009-09-04 → 2014-03-04
    M&T Securities, Inc.
    Tarrytown, NY
    Fishkill, NY
    Monsey, NY
    Village Of Montebello, NY
    Nyack, NY
    Piermont, NY
    New City, NY
    Wesley Hills, NY
    Chestnut Ridge, NY
    Paramus, NJ
    Brewster, NY
    North Salem, NY
    Ossining, NY
    Monroe, NY
    Brewster, NY
  • 2006-10-04 → 2009-09-02
    Chase Investment Services Corp.
    New City, NY
    Haverstraw, NY
    Nanuet, NY
  • 2006-05-30 → 2006-10-04
    Bny Investment Center Inc.
    New York, NY
    New City, NY
Other Businesses

INACTIVE ATTORNEY, 0 HOURS WEEKLY Independent insurance agent - from business address - 10 sec hours 2 non sec hours - selling Dental and Group Disability Income, Disability, Fixed Annuities, Life/Accident/Health, Long-Term Care, Medicare Related Products, Property & Casualty - since 1/2015

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-05-19
S66 Uniform Combined State Law Examination 2000-08-29
  • S65 Uniform Investment Adviser Law Examination
    2006-05-19
  • S66 Uniform Combined State Law Examination
    2000-08-29
Other Names
  • Pat Mccarthy

View on SEC IAPD

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