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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 2021-05-19
RI RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2021-05-19
  • RI RA
    APPROVED
    Since 2017-03-25

Branch Locations

501 Wampanoag Trail Suite 200, East Providence, RI 02915 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc. East Providence RI 01/2015 Present
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 Present
Mml Investors Services, Llc East Providence RI 03/2017 Present
  • 01/2015 → Present
    Metlife Securities Inc.
    East Providence, RI
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → Present
    East Providence, RI
Previous Registrations
  • 2010-07-02 → 2018-04-05
    Overland Park,, KS
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    East Providence, RI
  • 2005-04-08 → 2015-01-02
    New England Securities
    East Providence, RI
    Riverside, RI
  • 2002-06-03 → 2004-06-01
    Ws Griffith Securities, Inc.
    Providence, RI
Other Businesses

(1)Name: Elaine Carvelli Inv rel: Y Add: 501 WAMPANOAG TRAIL SUITE 200 EAST PROVIDENCE, RI 02915 Nature: NONMMLIA Insurance Brokerage Position: Sales Start date: 10/2007 No. HR/MO: 1 No. HR/MO during sec trading: 0 Describe duties: Dental and Group Disability Income Disability Life/Accident/Health Long-Term Care (2) Name: Bemer Inv rel: N Add: At Residential Address Nature: other Position: Independent Distributor Start date: 04/01/2018 No. HR/MO: 1 No. HR/MO during sec trading: 0 Describe duties: Owner of a medical/wellness device, receives compensation when someone purchases a device (3)Name: Elaine Carvelli Inv rel: N Add: At Residential Address Nature: Medical Referrals Position: Referral Source Start date: 10/20/2023 No. HR/MO: 2 No. HR/MO during sec trading: 0 Describe duties: Share DNA nutraceutical drops to potentially refer customers for drops

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-06-30
S63 Uniform Securities Agent State Law Examination 1996-06-21
  • S65 Uniform Investment Adviser Law Examination
    1999-06-30
  • S63 Uniform Securities Agent State Law Examination
    1996-06-21

View on SEC IAPD

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