Richard Caiazzo

Current Employers

Mml Investors Services, Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-10-10
TX	RA	APPROVED	2017-05-04
NJ	RA	APPROVED	2017-03-25

FL RA
APPROVED

Since 2024-10-10
TX RA
APPROVED

Since 2017-05-04
NJ RA
APPROVED

Since 2017-03-25

Branch Locations

Lakewood Ranch, FL • United States

240 N Washington Blvd Suite 319, Sarasota, FL 34236 • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien Yes
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Metlife Securities Inc	New York	NY	10/2013	03/2017
Mml Investors Services, Llc	Sarasota	FL	03/2017	Present
Massmutual Life Insurance Co	Sarasota	FL	07/2016	Present

10/2013 → 03/2017

Metlife Securities Inc

New York, NY
03/2017 → Present

Mml Investors Services, Llc

Sarasota, FL
07/2016 → Present

Massmutual Life Insurance Co

Sarasota, FL

Previous Registrations

2013-10-18 → 2017-03-25

Msi Financial Services, Inc.

New York, NY

New York, NY

New York, NY

New York City, NY
2005-06-01 → 2013-10-23

Equitable Advisors, Llc

New York, NY

New York, NY

Other Businesses

NAME: RICHARD CAIAZZO INV REL: Y ADD: 240 N WASHINGTON BLVD, STE 319, SARASOTA, FL 34236 NATURE: OUTSIDE INSURANCE SALES POSITION: AGENT START DATE: 10/13 NO HRS/MO: 0 NO HRS/MO DUR TRADING: 0 DESCRIBE DUTIES: SELLING DENTAL AND GROUP DISABILITY INCOME, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE, DISABILITY, FIXED ANNUITIES, AND PROPERTY & CASUALTY.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-05-20

S66 Uniform Combined State Law Examination

2005-05-20

Designations

View on SEC IAPD