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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-04-10
  • TX RA
    APPROVED
    Since 2023-04-10

Branch Locations

301 Edgewater Place Suite 200, Wakefield, MA 01880 • 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
New England Securities Boston MA 03/2011 03/2017
Metlife Securities Inc. Wakefield MA 01/2015 03/2017
Mml Investors Services, Llc Wakefield MA 03/2017 Present
Massachusetts Mutual Life Insurance Company Wakefield MA 07/2016 Present
  • 03/2011 → 03/2017
    New England Securities
    Boston, MA
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Wakefield, MA
  • 03/2017 → Present
    Wakefield, MA
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Wakefield, MA
Previous Registrations
  • 2011-04-01 → 2018-04-05
    Overland Park,, KS
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Wakefield, MA
  • 2011-03-23 → 2015-01-02
    New England Securities
    Boston, MA
    Woburn, MA
    Wakefield, MA
  • 2004-04-22 → 2011-03-28
    Woburn, MA
    Needham, MA
  • 2002-03-27 → 2004-04-09
    1717 Capital Management Company
    Newton, MA
Other Businesses

(1)Name: Stephen Napier Inv rel: Y Add: 301 EDGEWATER PLACE SUITE 200 WAKEFIELD, MA 01880 Nature: NonMMLIA Insurance Brokerage Position: Sales Start date: 02/1997 No. HR/MO: 4 No. HR/MO during sec trading: 4 Describe duties: individual and group life, individual and group health. Property/Casualty. Non mass mutual affiliated insurance sales (2)Name: Grove street mgt LLC Inv rel: Y Add: Residential address Nature: Simple Rental Property Position: owner Start date: 06/2006 No. HR/MO: 4 No. HR/MO during sec trading: 0 Describe duties: own manage real estate. collect rent pay bills and maitain properties

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2001-04-17
S63 Uniform Securities Agent State Law Examination 1992-11-27
  • S65 Uniform Investment Adviser Law Examination
    2001-04-17
  • S63 Uniform Securities Agent State Law Examination
    1992-11-27
Other Names
  • Steve Napier
  • Steven Napier

View on SEC IAPD

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