Nicholas Patrick Carter

Current Employers

Mml Investors Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-02-05
IN	RA	APPROVED	2019-09-23

TX RA
APPROVED

Since 2021-02-05
IN RA
APPROVED

Since 2019-09-23

Branch Locations

8888 Keystone Crossing Suite 1600, Indianapolis, IN 46240 • United States

Fishers, IN • 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

Organization	City	State	From	To
Mass Mutual Life Insurance Company	Indianapolis	IN	05/2018	Present
Mml Investors Services, Llc	Indianapolis	IN	01/2019	Present
Ball State University	Muncie	IN	05/2014	05/2018
Muncie Family Ymca	Muncie	IN	01/2015	06/2017

05/2018 → Present

Mass Mutual Life Insurance Company

Indianapolis, IN
01/2019 → Present

Mml Investors Services, Llc

Indianapolis, IN
05/2014 → 05/2018

Ball State University

Muncie, IN
01/2015 → 06/2017

Muncie Family Ymca

Muncie, IN

Other Businesses

NAME: JANUS DEVELOPMENT SERVICES INV REL: N ADD: 1555 WESTFIELD RD NOBLESVILLE IN 46062 NATURE: NON PROFIT SPECIAL NEEDS POSITION: MEMBER OF BOARD OF DIRECTORS START DATE: 6/1/2025 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 0 DUTIES: ADVISE & CONSULT ON FINANCE COMMITTEE-HELP WITH ACCOUNTING, BALANCE, SHEET AND CASH FLOW STATEMENTS NAME: ALPHA TAU OMEGA INV REL: N ADD: 1100 W RIVERSIDE AVE MUNCIE IN 47303 NATURE: COLLEGE FRATERNITY POSITION: BOARD OF DIRECTORS START DATE: 6/1/2020 NO. HR/MO:1 NO. HR/MO DURING SEC TRADING: 0 DUTIES: ADVISE AND CONSULT UNDERGRADUATE CHAPTER

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2019-09-16

S66 Uniform Combined State Law Examination

2019-09-16

Other Names

Nicholas Carter

View on SEC IAPD