Katherine Ann Caso

Current Employers

Mml Investors Services, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-14
NJ	RA	APPROVED	2017-03-25

NY RA
APPROVED

Since 2021-06-14
NJ RA
APPROVED

Since 2017-03-25

Branch Locations

Edgartown, MA • United States

420 Lexington Avenue, 25Th Floor Suite 2510, New York, NY 10170 • United States

Ho-Ho-Kus, NJ • 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

Organization	City	State	From	To
Metlife Securities	New York	NY	04/2008	03/2017
Massachusetts Mutual Life Insurance Company	New York	NY	07/2016	Present
Mml Investors Services, Llc	New York	NY	03/2017	Present

04/2008 → 03/2017

Metlife Securities

New York, NY
07/2016 → Present

Massachusetts Mutual Life Insurance Company

New York, NY
03/2017 → Present

Mml Investors Services, Llc

New York, NY

Previous Registrations

2008-06-11 → 2017-03-25

Msi Financial Services, Inc.

New York, NY

New York, NY
2006-03-09 → 2008-04-30

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Montvale, NJ

Other Businesses

NAME: SIMPLE RENTAL INV REL: Y ADD: 65 EAST INDIA ROW 11C BOSTON MA 02110 NATURE: RENTAL APARTMENT POSITION: LANDLORD START DATE: 2/10/1991 NO HRS/MO:1 NO HRS/MO DUR TRADING: 0

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2005-12-02

S66 Uniform Combined State Law Examination

2005-12-02

Designations

Other Names

Kit Caso

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