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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_RES 2017-03-25
WI RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2017-03-25
  • WI RA
    APPROVED
    Since 2017-03-25

Branch Locations

10401 Innovation Drive Suite 125, Wauwatosa, WI 53226 • United States

Wauwatosa, WI • 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. Brookfield WI 01/2015 03/2017
Massmutual Life Insurance Co Wauwatosa WI 07/2016 Present
Mml Investors Services, Llc Wauwatosa WI 03/2017 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Brookfield, WI
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Wauwatosa, WI
  • 03/2017 → Present
    Wauwatosa, WI
Previous Registrations
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Milwaukee, WI
  • 2008-06-20 → 2015-01-02
    New England Securities
    Brookfield, WI
    Waukesha, WI
Other Businesses

INDEPENDENT INSURANCE AGENT SELLING DENTAL AND GROUP DISABILITY INCOME AND LIFE/ACCIDENT/HEALTH FROM BUSINESS ADDRESS 1 WEEKDAY AND 1 EVENING/WEEKEND HOURS STARTED 04/2002.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-08-27
  • S63 Uniform Securities Agent State Law Examination
    1993-08-27
Other Names
  • Richard P Hagan

View on SEC IAPD

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