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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 2025-03-06
RI RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2025-03-06
  • RI RA
    APPROVED
    Since 2017-03-25

Branch Locations

20 Congress St, Marshfield, MA 02050 • 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 Securites, Inc Marshfield MA 05/2015 03/2017
Mml Investors Services, Llc Marshfield MA 03/2017 Present
Mass Mutual Life Insurance Company Marshfield MA 07/2016 Present
  • 05/2015 → 03/2017
    Metlife Securites, Inc
    Marshfield, MA
  • 03/2017 → Present
    Marshfield, MA
  • 07/2016 → Present
    Mass Mutual Life Insurance Company
    Marshfield, MA
Previous Registrations
  • 2015-06-26 → 2018-04-05
    Marshfield, MA
    Overland Park,, KS
  • 2015-06-17 → 2017-03-25
    Msi Financial Services, Inc.
    Marshfield, MA
  • 2009-10-05 → 2015-06-16
    Portsmouth, NH
    Peterborough, NH
    Keene, NH
    Rochester, NH
    Boston, MA
    Newport, VT
    Brattleboro, VT
    Quincy, MA
    Williston, VT
    Berlin, VT
    Boston, MA
  • 2007-08-08 → 2009-10-05
    Ameriprise Advisor Services, Inc.
    Andover, MA
    Williston, VT
    Brattleboro, VT
    Newport, VT
    Quincy, MA
    Plymouth, MA
    Boston, MA
Other Businesses

(1)Name: Anthony Nofi Inv rel: Y Add: 20 Congress St Marshfield MA 02050 Nature: Health, Group Life, and Group Health Position: Agent Start date: 10/08/2019 No. HR/MO: 2 No. HR/MO during sec trading: 1 (2)Name: MP-HR (formerly Mass Pay) Inv rel: Y Add: 20 Congress St Marshfield MA 02050 Nature: Payroll Services Position: Referral Agent Start date: 09/01/2022 No. HR/MO: 1 No. HR/MO during sec trading: 1 Describe duties: To simply refer clients and prospective clients to MP-HR. (3)Name: The Seaport Team Inv rel: Y Add: One Marina Park Drive, Boston, MA 02210 Nature/Duties: Owner of LLC for pass through compensation Position: Owner Start date: 04/01/2024 No. HR/MO: 20 No. HR/MO during sec trading: 10

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-08-01
S63 Uniform Securities Agent State Law Examination 1996-03-08
  • S65 Uniform Investment Adviser Law Examination
    2007-08-01
  • S63 Uniform Securities Agent State Law Examination
    1996-03-08

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