Harry Aloysius Carroll

Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2016 → Present
  Massachusetts Mutual Life Insurance Company
  Springfield, MA
• 03/2017 → Present
  Mml Investors Services, Llc
  Marlton, NJ

Previous Registrations

• 2010-11-01 → 2017-12-31
  Newsquare Capital, Llc
  Newtown Square, PA
• 2015-01-02 → 2017-03-25
  Msi Financial Services, Inc.
  Marlton, NJ
  Newtown Square, PA
• 2007-11-05 → 2015-01-02
  New England Securities
  Newtown Square, PA
  Newtown Square, PA

Other Businesses

NAME: HARRY CARROLL INV REL: Y ADDR: 401 RT 73 NORTH MARLTON NJ 08057 NATURE: INDIVIDUAL LIFE POSITION: AGENT START: 10/2012 NO HRS: 1 NO HRS DUR TRADING: 0. (2) NAME: ROWING HIGH SCHOOL MOORESTOWN HIGH SCHOOL INV REL: N ADDR: AT RESIDENTIAL ADDR NATURE: SPORTS COACH POSITION: HEAD COACH START: 05/2008 NO HRS: 40 NO HRS DUR TRADING: 0. (3) NAME: CADENCE FINANCIAL MANAGEMENT, LLC INV REL: Y ADD: 10 LAKE CENTER EXECUTIVE PARK, 401 RT. 73 NORTH, SUITE 201, MARLTON, NJ 08053 NATURE: LLC FOR OUR DBA FOR BUSINESS EXPENSES AND PAYROLL POSITION: MEMBER START DATE: 01/01/2023 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: MEMBER OF LLC

Exams

• S63 Uniform Securities Agent State Law Examination
  1995-08-04