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Charlotte Rose Rice

Mml Investors Services, LLC

Newtown Square, PA

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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2026-03-13
  • PA RA
    APPROVED
    Since 2026-03-13

Branch Locations

2 Campus Blvd Suite 101, Newtown Square, PA 19073 • 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
Randstad Malvern PA 08/2018 06/2019
University Of St Andrews St Andrews 09/2014 08/2018
Lincoln Financial Distributors, Inc Radnor PA 06/2019 04/2024
Morgan Stanley Mount Laurel NJ 04/2024 02/2026
Mml Investors Services Llc Newtown Square PA 03/2026 Present
Mass Mutual Life Insurance Company Newtown Square PA 03/2026 Present
  • 08/2018 → 06/2019
    Randstad
    Malvern, PA
  • 09/2014 → 08/2018
    University Of St Andrews
    St Andrews
  • 06/2019 → 04/2024
    Lincoln Financial Distributors, Inc
    Radnor, PA
  • 04/2024 → 02/2026
    Morgan Stanley
    Mount Laurel, NJ
  • 03/2026 → Present
    Mml Investors Services Llc
    Newtown Square, PA
  • 03/2026 → Present
    Mass Mutual Life Insurance Company
    Newtown Square, PA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-11-06
S63 Uniform Securities Agent State Law Examination 2019-07-23
  • S65 Uniform Investment Adviser Law Examination
    2024-11-06
  • S63 Uniform Securities Agent State Law Examination
    2019-07-23
Other Names
  • Charlotte Rose Rice

View on SEC IAPD

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Other Investors

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TIMOTHY ANDREW CHISHOLM
LEE SCOTT GROUT
RYAN L KIRK
Robert Kenneth Kuberski
David Francis Lynch

Other Offices

UP FINTECH ASSET MANAGEMENT · NEWTOWN SQUARE, PA
NEWSQUARE CAPITAL, LLC · NEWTOWN SQUARE, PA
LYNCH INVESTMENT PLANNING, LLC · NEWTOWN SQUARE, PA
MML INVESTORS SERVICES, LLC · NEWTOWN SQUARE, PA
PRIVATE ADVISOR GROUP, LLC · Newtown Square, PA
CETERA INVESTMENT ADVISERS LLC · NEWTOWN SQUARE, PA
GWN SECURITIES INC. · NEWTOWN SQUARE, PA
EQUUS CAPITAL PARTNERS, LTD. · NEWTOWN SQUARE, PA

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