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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 2015-05-01
IN RA APPROVED 2006-04-25
  • TX RA
    APPROVED_RES
    Since 2015-05-01
  • IN RA
    APPROVED
    Since 2006-04-25

Branch Locations

8888 Keystone Crossing Suite 1600, Indianapolis, IN 46240 • 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
Massmutual Life Insurance Co Indianapolis IN 09/2005 Present
Mml Investors Services, Llc Indianapolis IN 09/2005 Present
Other Businesses

(1) NAME: WESTPOINT FINANCIAL GROUP INV REL: Y ADD: 8888 KEYSTONE CROSSING SUITE 1600, INDIANAPOLIS, IN 46240 NATURE: INSURANCE POSITION: AGENT START DATE: 01/1/2011 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 5 (2) NAME: THE CROSSROADS GROUP, LLC INV REL: Y ADDR: 8888 KEYSTONE CROSSING SUITE 1600 INDIANAPOLIS, IN 46240 NATURE: LLC USED FOR FINANCIAL SERVICES POSITION: MEMBER START: 01/01/2018 NO HRS/MO: 180 NO HRS/MO DUR TRADING: 150 DUTIES: CONDUCT FINANCIAL SERVICES ACTIVITIES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-04-11
S63 Uniform Securities Agent State Law Examination 2005-10-26
  • S65 Uniform Investment Adviser Law Examination
    2006-04-11
  • S63 Uniform Securities Agent State Law Examination
    2005-10-26

View on SEC IAPD

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