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Current Employers
Mml Investors Services, Llc

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

Current Registrations

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

Branch Locations

1305 Campus Parkway, Wall Township, NJ 07753 • United States

Toms River, 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
New England Securities Fairfield NJ 11/2009 Present
Metlife Securities Inc. Wall Township NJ 01/2015 Present
Mml Investors Services, Llc Wall Township NJ 03/2017 Present
  • 11/2009 → Present
    New England Securities
    Fairfield, NJ
  • 01/2015 → Present
    Metlife Securities Inc.
    Wall Township, NJ
  • 03/2017 → Present
    Wall Township, NJ
Previous Registrations
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Wall Township, NJ
    Fairfield, NJ
  • 2011-02-25 → 2015-01-02
    New England Securities
    Princeton, NJ
    Wall Township, NJ
Other Businesses

NOTARY PUBLIC FOR THE STATE OF NJ 1 EVENING/WEEKEND HOURS STARTED 02/2004.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-02-11
S63 Uniform Securities Agent State Law Examination 2001-10-30
  • S65 Uniform Investment Adviser Law Examination
    2011-02-11
  • S63 Uniform Securities Agent State Law Examination
    2001-10-30

View on SEC IAPD

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