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Richard Edward Whitaker

Mml Investors Services, LLC

Winston Salem, NC

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Current Employers
Mml Investors Services, Llc

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

Current Registrations

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

Branch Locations

3779 Vest Mill Road Suite A, Winston Salem, NC 27103 • 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
Metlife Securities Inc. Winston Salem NC 01/1993 03/2017
Mml Investors Services, Llc Winston Salem NC 03/2017 Present
Massmutual Life Insurance Company Winston Salem NC 07/2016 Present
  • 01/1993 → 03/2017
    Metlife Securities Inc.
    Winston Salem, NC
  • 03/2017 → Present
    Mml Investors Services, Llc
    Winston Salem, NC
  • 07/2016 → Present
    Massmutual Life Insurance Company
    Winston Salem, NC
Previous Registrations
  • 2002-08-22 → 2017-03-25
    Msi Financial Services, Inc.
    Winston-Salem, NC
    Winston-Salem, NC
    Winston Salem, NC
    Winston Salem, NC
    Winston-Salem, NC
    Winston-Salem, NC
    Winston-Salem, NC
    Winston Salem, NC
Other Businesses

1.INDEPENDENT INSURANCE AGENT SELLING LIFE ACCIDENT HEALTH -CAROLINA BENEFITS GROUP - 0 HRS INVOLVED SINCE 03/2012. 2.NAME: RICHARD WHITEACKER REL: N ADDR: AT RESIDENTIAL ADDRESS NATURE: BOARD GAME DESIGN POSITION: DESIGNER NO HRS/MO: 15 NO HRS/MO DUR TRADING: 0 START DATE: 01/2022 DUTIES: DESIGNING HISTORICAL BOARD GAMES.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-05-21
S63 Uniform Securities Agent State Law Examination 1994-01-31
  • S65 Uniform Investment Adviser Law Examination
    2002-05-21
  • S63 Uniform Securities Agent State Law Examination
    1994-01-31
Other Names
  • Dick Whitaker
  • Richard E Whitaker

View on SEC IAPD

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Other Offices

WELLS FARGO CLEARING SERVICES, LLC · WINSTON SALEM, NC
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EDWARD JONES · WINSTON SALEM, NC
EDWARD JONES · WINSTON-SALEM, NC
AMERIPRISE FINANCIAL SERVICES, LLC · WINSTON-SALEM, NC
TIMONIER · WINSTON SALEM, NC
APOLLON WEALTH MANAGEMENT, LLC · Winston-Salem, NC
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