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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2024-04-02
  • PA RA
    APPROVED
    Since 2024-04-02

Branch Locations

16 Campus Blvd Suite 200, Newtown Square, PA 19073 • United States

Conshohocken, PA • 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
Penn Mutual Life Insurance Company Wilmington DE 08/2014 02/2024
Hornor, Townsend & Kent, Llc Wilmington DE 08/2014 02/2024
Mml Investors Services, Llc Newtown Square PA 03/2024 Present
Massmutual Life Insurance Co Newtown Square PA 03/2024 Present
Previous Registrations
Other Businesses

1) NAME: PRUDENZ, LLC INV REL: N ADD: 3210 NAAMANS ROAD, APT S12, WILMINGTON, DE 19810 NATURE: SERVICE INDUSTRY. UTILIZE PROFESSIONAL NETWORK TO ASSIST IN PROJECTS POSITION: PARTNER START DATE: 02/14/2024 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: MEET WITH SERVICE VENDORS OR PRODUCT SUPPLIERS TO FACILITATE 2) NAME: SJMC AGENCIES, LLC INV REL: Y ADD: 1239 NORTH FARMVIEW DRIVE, DOVER, DE 19904 NATURE: UTILIZING NETWORK TO ASSIST IN COMMERCIAL PAPER AND ENVELOPE PROJECTS POSITION: PARTNER START DATE: 02/14/2024 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: MEET WITH SERVICE VENDORS OR PRODUCT SUPPLIERS TO HELP FACILITATE RELATIONSHIPS 3) NAME: UP CONSULTANT, LLC INV REL: Y ADD: 1239 NORTH FARMVIEW DRIVE, DOVER, DE 19904 NATURE: UTILIZING MY PROFESSIONAL NETWORK TO HELP ASSIST IN PROJECTS POSITION: PARTNER START DATE: 02/14/2024 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: MEET WITH SERVICE VENDORS OR PRODUCT SUPPLIERS TO HELP FACILITATE RELATIONSHIPS

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-12-02
  • S63 Uniform Securities Agent State Law Examination
    2008-12-02
Designations
Other Names
  • Joseph O'SHea

View on SEC IAPD

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