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Nicholas Ernst

Mml Investors Services, LLC

Delray Beach, FL

CRD 7111790

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Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-07-09
NY RA APPROVED 2021-06-11
  • FL RA
    APPROVED
    Since 2024-07-09
  • NY RA
    APPROVED
    Since 2021-06-11

Branch Locations

Delray Beach, FL • 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 Delray Beach FL 06/2019 Present
General Nutrition Center Cincinnati OH 11/2018 04/2019
City Of Huron Boat Basin Huron OH 04/2013 05/2017
University Of Cincinnati Cincinnati OH 08/2015 05/2019
Mass Mutual Life Insurance Company Delray Beach FL 04/2019 Present
  • 06/2019 → Present
    Mml Investors Services
    Delray Beach, FL
  • 11/2018 → 04/2019
    General Nutrition Center
    Cincinnati, OH
  • 04/2013 → 05/2017
    City Of Huron Boat Basin
    Huron, OH
  • 08/2015 → 05/2019
    University Of Cincinnati
    Cincinnati, OH
  • 04/2019 → Present
    Mass Mutual Life Insurance Company
    Delray Beach, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-06-03
S63 Uniform Securities Agent State Law Examination 2019-07-25
  • S66 Uniform Combined State Law Examination
    2021-06-03
  • S63 Uniform Securities Agent State Law Examination
    2019-07-25
Other Names
  • Nicholas Barry Ernst

View on SEC IAPD

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