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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-05-11
NY RA APPROVED 2022-04-04
  • TX RA
    APPROVED
    Since 2023-05-11
  • NY RA
    APPROVED
    Since 2022-04-04

Branch Locations

90 Park Ave 18Th Floor, New York, NY 10016 • 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 New York NY 10/2020 Present
Mass Mutual Life Insurance Company New York NY 09/2020 Present
Tulane University New Orleans LA 08/2013 08/2017
Fundera, Inc. New York NY 01/2019 08/2020
Rugby United New York New York NY 12/2017 12/2018
N/A Westport CT 09/2017 11/2017
Lenox Advisors, Inc. New York NY 09/2020 Present
  • 10/2020 → Present
    New York, NY
  • 09/2020 → Present
    Mass Mutual Life Insurance Company
    New York, NY
  • 08/2013 → 08/2017
    Tulane University
    New Orleans, LA
  • 01/2019 → 08/2020
    Fundera, Inc.
    New York, NY
  • 12/2017 → 12/2018
    Rugby United New York
    New York, NY
  • 09/2017 → 11/2017
    N/A
    Westport, CT
  • 09/2020 → Present
    Lenox Advisors, Inc.
    New York, NY
Other Businesses

Name: Brian D. Book / Lenox Advisors, Inc Inv rel: Y Add: 90 Park Avenue 18th Floor New York NY 10016 Nature: Outside Insurance; Life, Disability, Long term care, Fixed annuities, and Health Position: Relationship Manager Start date: 08/17/2021 No. HR/MO: 5 No. HR/MO during sec trading: 5

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-03-28
  • S66 Uniform Combined State Law Examination
    2022-03-28

View on SEC IAPD

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