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Current Employers
Mml Investors Services, Llc

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

Current Registrations

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

Branch Locations

2079 Lawrence Drive Suite D, De Pere, WI 54115 • 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. Green Bay WI 01/1992 03/2017
Mml Investors Services, Llc De Pere WI 03/2017 Present
Massmutual Life Insurance Co De Pere WI 07/2016 Present
  • 01/1992 → 03/2017
    Metlife Securities Inc.
    Green Bay, WI
  • 03/2017 → Present
    De Pere, WI
  • 07/2016 → Present
    Massmutual Life Insurance Co
    De Pere, WI
Previous Registrations
  • 1994-06-10 → 2017-03-25
    Msi Financial Services, Inc.
    De Pere, WI
    Green Bay, WI
Other Businesses

NAME: ALPHA FINANCIAL SOLUTIONS, LLC INV REL: Y, ADD: 2079 LAWRENCE DRIVE, SUITE D, DE PERE, WI 54115 NATURE: OUTSIDE INSURANCE SALES, POSITION: INSURANCE BROKER, START DATE: 02/01/1992, NO. HR/MO: 1, NO. HR/MO DURING SEC TRADING: 0, DUTIES: LIFE, GROUP LIFE DISABILITY, GROUP DISABILITY, PROPERTY AND CASUALTY, DENTAL AND GROUP DENTAL.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1994-06-10
S63 Uniform Securities Agent State Law Examination 1992-08-27
  • S65 Uniform Investment Adviser Law Examination
    1994-06-10
  • S63 Uniform Securities Agent State Law Examination
    1992-08-27
Designations

View on SEC IAPD

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