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Roger Stephen Szczypien

Mml Investors Services, LLC

Houston, TX

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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 2021-09-17
  • TX RA
    APPROVED
    Since 2021-09-17

Branch Locations

3040 Post Oak Boulevard Suite 2000, Houston, TX 77056 • 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
Wells Fargo Clearing Services, Llc Houston TX 03/2012 09/2021
Mml Investors Services, Llc Houston TX 09/2021 Present
Mass Mutual Life Insurance Company Houston TX 09/2021 Present
Previous Registrations
  • 2012-03-30 → 2021-09-22
    Wells Fargo Clearing Services, Llc
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    La Porte, TX
    Channelview, TX
    Baytown, TX
    Mont Belvieu, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Liberty, TX
    Houston, TX
    Houston, TX
    Houston, TX
  • 2010-04-08 → 2012-03-30
    Chase Investment Services Corp.
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
    Houston, TX
  • 2009-10-29 → 2010-03-10
    Park Avenue Securities Llc
    Houston, TX
  • 2007-09-27 → 2009-09-18
    Wells Fargo Clearing Services, Llc
    Houston, TX
    Addison, TX
    Houston, TX
    Addison, TX
  • 2007-04-25 → 2007-09-11
    Wells Fargo Investments, Llc
    Houston, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-04-24
  • S66 Uniform Combined State Law Examination
    2007-04-24
Other Names
  • Roger Szczypien

View on SEC IAPD

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