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Current Employers
Mml Investors Services, Llc

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

Current Registrations

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

Branch Locations

75 Leighton Road Bldg 3, Falmouth, ME 04105 • United States

Harpswell, ME • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc. Burlington MA 04/1990 03/2017
Massachusetts Mutual Life Insurance Company Falmouth ME 07/2016 Present
Mml Investors Services, Llc Falmouth ME 03/2017 Present
  • 04/1990 → 03/2017
    Metlife Securities Inc.
    Burlington, MA
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Falmouth, ME
  • 03/2017 → Present
    Falmouth, ME
Previous Registrations
  • 2015-08-04 → 2018-02-02
    Harpswell, ME
    Overland Park,, KS
  • 2006-05-11 → 2017-03-25
    Msi Financial Services, Inc.
    Southborough, MA
    Westboro, MA
    Westboro, MA
    Harpswell, ME
    Harpswell, ME
    Westboro, MA
    Falmouth, ME
Other Businesses

(1)Name: Alane M. Downes Inv rel: Y Add: Residential address Nature: NonMMLIA Insurance Brokerage Position: Sales Start date: 11/15/2014 No. HR/MO: 4 No. HR/MO during sec trading: 4 Describe duties: individual and group life, individual and group health. Long-term Care Insurance, Fixed Annuities, Life Insurance (2)Name: William B. Fall Inv rel: Y Add: Residential address Nature: Simple Rental Property Position: Co-owner Start date: 11/15/2014 No. HR/MO: 8 No. HR/MO during sec trading: 4 Describe duties: Rental of vacation studio. Collecting rent, paperwork, correspondence (3)Name: Alane M. Downes Inv rel: N Add: At Residential Address Nature: Other - Photography Position: Photographer Start date: 05/14/2021 No. HR/MO: 4 - 8 No. HR/MO during sec trading: 1 - 2 Describe duties: Occasional photo sales and sales of related media such as canvas prints as a result of photography during off hours. Infrequent participation in a local art exhibit. Opportunity to accept a photography assignment that can be carried out during off hours.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2006-03-01
S63 Uniform Securities Agent State Law Examination 1990-04-20
  • S66 Uniform Combined State Law Examination
    2006-03-01
  • S63 Uniform Securities Agent State Law Examination
    1990-04-20

View on SEC IAPD

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