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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-14
  • NY RA
    APPROVED
    Since 2021-06-14

Branch Locations

2537 Route 52 Suite 1 Bldg 3, Hopewell Junction, NY 12533 • United States

Hopewell Junction, NY • 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
Massmutual Hopewell Junction NY 08/2009 Present
Mml Investors Services Inc Hopewell Junction NY 11/2009 Present
  • 08/2009 → Present
    Massmutual
    Hopewell Junction, NY
  • 11/2009 → Present
    Mml Investors Services Inc
    Hopewell Junction, NY
Other Businesses

NAME: BRIAN GAINE INV REL: Y ADD: 41 THISTLE IN HOPEWELL JUNCTION NY 12533 NATURE: INDIVIDUAL LIFE, HEALTH, DI, LTC POSITION: SALES/AGENT START DATE: 2009 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 0

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1992-08-31
  • S63 Uniform Securities Agent State Law Examination
    1992-08-31

View on SEC IAPD

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