Joseph Nicholas Moore

Current Employers

Mml Investors Services, Llc

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

Current Registrations

Authority	Category	Status	Date
NH	RA	APPROVED	2022-06-13
TX	RA	APPROVED_RES	2019-03-12
RI	RA	APPROVED	2017-03-25

NH RA
APPROVED

Since 2022-06-13
TX RA
APPROVED_RES

Since 2019-03-12
RI RA
APPROVED

Since 2017-03-25

Branch Locations

360 Route 101 Unit 2, Bedford, NH 03110 • 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

Organization	City	State	From	To
Metlife Securities Inc	Boston	MA	10/2014	03/2017
Mml Investors Services, Llc	Bedford	NH	03/2017	Present
Massmutual Life Insurance Co	Bedford	NH	07/2016	Present

10/2014 → 03/2017

Metlife Securities Inc

Boston, MA
03/2017 → Present

Mml Investors Services, Llc

Bedford, NH
07/2016 → Present

Massmutual Life Insurance Co

Bedford, NH

Previous Registrations

2015-01-22 → 2018-04-05

Mariner

Overland Park,, KS

Boston, MA
2014-10-10 → 2017-03-25

Msi Financial Services, Inc.

Boston, MA
2013-01-29 → 2014-10-21

Northwestern Mutual Investment Services, Llc

Boston, MA

Other Businesses

Name: Baystate Financial LLC lnv rel: Y Add: One Marina Park Drive, 16th Floor, Boston, MA 02210 Nature: LLC used to run financial service business Position: Partner Start date: 01/05/2026 No. HR/MO: 1 No. HR/MO during sec trading: 1

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-01-24
S63	Uniform Securities Agent State Law Examination	2010-08-30

S65 Uniform Investment Adviser Law Examination

2013-01-24
S63 Uniform Securities Agent State Law Examination

2010-08-30

View on SEC IAPD