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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 2021-05-06
NJ RA APPROVED 2017-03-25
  • NY RA
    APPROVED
    Since 2021-05-06
  • NJ RA
    APPROVED
    Since 2017-03-25

Branch Locations

420 Lexington Avenue, 25Th Floor Suite 2510, New York, NY 10170 • United States

Bridgewater, NJ • United States

Disclosures

2 disclosure categories 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 Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc. New York NY 02/2009 03/2017
Massachusetts Mutual Life Insurance Company New York NY 07/2016 Present
Mml Investors Services, Llc New York NY 03/2017 Present
  • 02/2009 → 03/2017
    Metlife Securities Inc.
    New York, NY
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    New York, NY
  • 03/2017 → Present
    New York, NY
Previous Registrations
Other Businesses

1) Name: Ken Conway, Inv Rel: Y Addr: @ residential address on file, Nature: Outside Insurance, Position: Agent, Start: 7/25/2025, No Hr/Mo: 1 No Hr/Mo Dur Trading: 1 Duties: Life, Disability, Long-term care, Fixed Annuities.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2005-04-27
S63 Uniform Securities Agent State Law Examination 1997-09-25
  • S66 Uniform Combined State Law Examination
    2005-04-27
  • S63 Uniform Securities Agent State Law Examination
    1997-09-25

View on SEC IAPD

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