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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2017-03-25
  • CT RA
    APPROVED
    Since 2017-03-25

Branch Locations

244 Main Street, Great Barrington, MA 01230 • 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
Smith, Watson & Company, Llp Great Barrington MA 09/1997 Present
Metlife Securities Inc. Great Barrington MA 01/2015 03/2017
Mml Investors Services, Llc Great Barrington MA 03/2017 Present
Massmutual Life Insurance Company Great Barrington MA 07/2016 Present
  • 09/1997 → Present
    Smith, Watson & Company, Llp
    Great Barrington, MA
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Great Barrington, MA
  • 03/2017 → Present
    Great Barrington, MA
  • 07/2016 → Present
    Massmutual Life Insurance Company
    Great Barrington, MA
Previous Registrations
  • 2013-01-29 → 2018-04-05
    Overland Park,, KS
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Great Barrington, MA
  • 2012-12-14 → 2015-01-02
    New England Securities
    Great Barrington, MA
    Boston, MA
  • 2006-02-09 → 2012-12-14
    1St Global Advisors Inc
    Great Barrington, MA
Other Businesses

(1)Name: Colin Smith Inv rel: Y Add: 244 Main Street Great Barrington MA 01230 Nature: NonMMLIA Insurance Brokerage Position: Agent Start date: 10/01/2012 No. HR/MO: 1 No. HR/MO during sec trading: 1 Describe duties: Individual and Group Life (2)Name: Smith, Watson & Company, LLP Inv rel: Y Add: 244 Main Street Great Barrington MA 01230 Nature: CPA/Tax Preparation Position: Partner Start date: 09/01/1997 No. HR/MO: 35 No. HR/MO during sec trading: 140 Describe duties: In addition to tax prep, we prepare financial statements for business including audit, comp and review services. We provide bookkeeping and other business advice. (3)Name: Bow Wow Road LLC Inv rel: Y Add: South Egremont, MA 01258 Nature: Simple Rental Property Position: Managing Member Start date: 04/01/2024 No. HR/MO: 8 No. HR/MO during sec trading: 0 Describe duties: Maintain VRBO account, coordinate and communicate with renters. Arrange for maintenance. Perform maintenance and cleaning. Communicate with other two members about overall business activities.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-01-05
  • S66 Uniform Combined State Law Examination
    2006-01-05

View on SEC IAPD

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