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Tracy Neil Sledd

Mml Investors Services, LLC

Roanoke, VA

Roanoke, VA

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Current Employers
Mml Investors Services, Llc

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

Current Registrations

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

Branch Locations

3800 Electric Road Suite 210, Roanoke, VA 24018 • United States

Roanoke, VA • 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 Roanoke VA 02/2006 03/2017
Mml Investors Services, Llc Roanoke VA 03/2017 Present
Massmutual Life Insurance Co Roanoke VA 07/2016 Present
  • 02/2006 → 03/2017
    Metlife Securities,Inc
    Roanoke, VA
  • 03/2017 → Present
    Mml Investors Services, Llc
    Roanoke, VA
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Roanoke, VA
Previous Registrations
  • 2006-02-27 → 2017-03-25
    Msi Financial Services, Inc.
    Roanoke, VA
  • 1991-10-28 → 2006-02-21
    Morgan Stanley Dw Inc.
    Roanoke, VA
    Roanoke, VA
Other Businesses

Independent Insurance Agent from business address selling Fixed Annuities 1 sec hr per week since 1 sec hr per week since 08/2016

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1991-10-09
S63 Uniform Securities Agent State Law Examination 1990-05-07
  • S65 Uniform Investment Adviser Law Examination
    1991-10-09
  • S63 Uniform Securities Agent State Law Examination
    1990-05-07
Other Names
  • Tracy N Sledd
  • Tracy Sledd

View on SEC IAPD

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STATE FARM INVESTMENT MANAGEMENT CORP.
TRUIST ADVISORY SERVICES, INC.
LPL FINANCIAL LLC
HORNOR, TOWNSEND & KENT, LLC
AMERIPRISE FINANCIAL SERVICES, LLC

Other Investors

STEPHANIE S FRALIN
JOHN BARTON EDMUNDS
JOHN ROBERT BRADBERRY
john aston edmunds
Stephen Berry
Brandon Burk Williams
Brian Barrows
ELIZABETH ROBERTS THOMAS

Other Offices

COMMONWEALTH FINANCIAL NETWORK · Roanoke, VA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Roanoke, VA
CETERA INVESTMENT ADVISERS LLC · CAVE SPRING, VA
STATE FARM INVESTMENT MANAGEMENT CORP. · Roanoke, VA
TRUIST ADVISORY SERVICES, INC. · ROANOKE, VA
TRUIST ADVISORY SERVICES, INC. · ROANOKE, VA
LPL FINANCIAL LLC · ROANOKE, VA
HORNOR, TOWNSEND & KENT, LLC · ROANOKE, VA

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