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Current Employers
Mml Investors Services, Llc

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

Current Registrations

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

Branch Locations

4905 Tilghman Street Suite 200, Allentown, PA 18104 • 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. Lansdale PA 12/1991 03/2017
Mml Investors Services, Llc Allentown PA 03/2017 Present
Massmutual Life Insurance Co Allentown PA 07/2016 Present
  • 12/1991 → 03/2017
    Metlife Securities Inc.
    Lansdale, PA
  • 03/2017 → Present
    Allentown, PA
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Allentown, PA
Previous Registrations
  • 2007-09-18 → 2017-03-25
    Msi Financial Services, Inc.
    Lansdale, PA
    Lansdale, PA
    Allentown, PA
Other Businesses

NAME: RACHEL MARIE WALTER INV REL: Y ADD: BEING DONE AT RESIDENTIAL ADDRESS NATURE: NONMMLIA - INDIVIDUAL LIFE, HEALTH, GROUP LIFE, GROUP HEALTH POSITION: AGENT START DATE: 07/2016 No. HR/MO: 20. No. HR/MO DURING SEC TRADING: 15.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-12-08
S63 Uniform Securities Agent State Law Examination 1992-09-04
  • S65 Uniform Investment Adviser Law Examination
    2015-12-08
  • S63 Uniform Securities Agent State Law Examination
    1992-09-04
Other Names
  • Richard Alan Walter
  • Rachel Marie Walter
  • Richard Alan Walter

View on SEC IAPD

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