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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2024-11-14 |
Branch Locations
1324 Belmont Street Suite 101A, Brockton, MA 02301 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities Inc. | Burlington | MA | 11/1998 | 03/2017 |
| Mml Investors Services, Llc | Brockton | MA | 03/2017 | Present |
| Mass Mutual Life Insurance Company | Brockton | MA | 07/2016 | Present |
(1)Name: Michael Rothberg Inv rel: N Add: Plymouth MA Nature: Other Position: Author Start date: 2007 No. HR/MO: 0 No. HR/MO during sec trading: 0 Describe duties: Published a book in 2008 (2)Name: HSA - Health Insurance Inv rel: Y Add: 135 Wood Rd. Braintree, MA 02184 Nature: Outside Insurance Sales; Health Position: Broker Start date: 06/30/2021 No. HR/MO: 5 No. HR/MO during sec trading: 1 (3)Name: Ricciardi College of Business Advisory Board Inv rel: N Add: Bridgewater State University, 131 Summer Street, Bridgewater, MA 02324 Nature: Board Service Position: Board Ambassador Start date: 06/01/2025 No. HR/MO: 1 No. HR/MO during sec trading: 0 Duties: Help the board as a voluntary, unpaid Ambassador with the work done by the Ricciardi College of Business. Will not participate in any fundraising events.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-09-25 |
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