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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 2021-07-29
  • TX RA
    APPROVED
    Since 2021-07-29

Branch Locations

280 Congress St Suite 1300, Boston, MA 02210 • United States

Winchester, MA • 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. Boston MA 01/2010 03/2017
Mml Investors Services, Llc Charlotte NC 03/2017 09/2018
Massmutual Life Insurance Co Boston MA 09/2018 Present
Mml Investors Services, Llc Boston MA 09/2018 Present
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-03-15
S63 Uniform Securities Agent State Law Examination 2006-05-15
  • S65 Uniform Investment Adviser Law Examination
    2010-03-15
  • S63 Uniform Securities Agent State Law Examination
    2006-05-15
Designations
Other Names
  • William Moody

View on SEC IAPD

Other Firms

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