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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_RES 2024-12-03
NH RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2024-12-03
  • NH RA
    APPROVED
    Since 2017-03-25

Branch Locations

859 Turnpike Street Suite 129, N Andover, MA 01845 • United States

149 Water Street, Exeter, NH 03833 • United States

Exeter, NH • 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
Metlife Securities Inc. Exeter NH 01/2015 03/2017
Massachusetts Mutual Life Insurance Company Exeter NH 07/2016 Present
Mml Investors Services, Llc Exeter NH 03/2017 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Exeter, NH
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Exeter, NH
  • 03/2017 → Present
    Exeter, NH
Previous Registrations
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Exeter, NH
  • 2007-08-07 → 2015-01-02
    New England Securities
    New York, NY
    Boston, MA
    Boston, MA
    Exeter, NH
    Boston, MA
    Somerset, NJ
    Boston, MA
  • 2008-10-06 → 2011-01-28
    Tower Square Securities, Inc.
    Boston, MA
    New York, NY
  • 2008-10-06 → 2011-01-28
    Msi Financial Services, Inc.
    Boston, MA
    Springfield, MA
    Somerset, NJ
  • 2008-10-06 → 2011-01-28
    Walnut Street Securities, Inc.
    Boston, MA
    New York, NY
Other Businesses

(1)Name: Caitlin A. DeSoye Inv rel: Y Add: At Residential Address Nature: Consulting; Real Estate Analysis and projections for various project uses of land and existing structures Position: Real Estate Finance Consultant Start date: 09/01/2021 No. HR/MO: 12 No. HR/MO during sec trading: 4 Describe duties: Being a resource/consultant for real estate finance team. (2)Name: Caitlin A. DeSoye Inv rel: Y Add: 149 Water Street, Exeter, NH 03833 Nature: Outside Insurance Sales; Life, Disability, Long-term care, Health, Group Life, and Group Health Position: Independent Insurance Advisor Start date: 08/01/2023 No. HR/MO: 3 No. HR/MO dur trading: 3 (3)Name: Revolutionary Capital, LLC Inv rel: Y Add: At Residential Address Nature: Owner/Member Manager of LLC to run business expenses through Position: Owner/Member Manager Start date: 07/24/2024 No. HR/MO: 1 No. HR/MO dur trading: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-08-06
S63 Uniform Securities Agent State Law Examination 2005-08-16
  • S65 Uniform Investment Adviser Law Examination
    2007-08-06
  • S63 Uniform Securities Agent State Law Examination
    2005-08-16
Other Names
  • Caitlin Sanborn
  • Caitlin Alicia Sanborn

View on SEC IAPD

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