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James E Rose Iv

Mml Investors Services, LLC

Wakefield, MA

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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 2024-04-01
  • TX RA
    APPROVED_RES
    Since 2024-04-01

Branch Locations

301 Edgewater Place Suite 200, Wakefield, MA 01880 • 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
Mml Investors Services, Llc Wakefield MA 03/2017 Present
Msi Financial Services Inc Waltham MA 07/2016 03/2017
Mass Mutual Life Insurance Company Wakefield MA 07/2016 Present
  • 03/2017 → Present
    Mml Investors Services, Llc
    Wakefield, MA
  • 07/2016 → 03/2017
    Msi Financial Services Inc
    Waltham, MA
  • 07/2016 → Present
    Mass Mutual Life Insurance Company
    Wakefield, MA
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2010-01-08
  • S63 Uniform Securities Agent State Law Examination
    2010-01-08
Other Names
  • James Rose

View on SEC IAPD

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DONALD ALDE JOYAL
BARBARA NAN REED
Michael Bergeron
ERIC RYAN MARTIN

Other Offices

FLAGSHIP WEALTH ADVISORS, LLC. · WAKEFIELD, MA
424 CAPITAL, LLC · WAKEFIELD, MA
OXFORD MARTIN, LLC · WAKEFIELD, MA
OSAIC WEALTH, INC. · WAKEFIELD, MA
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. · Wakefield, MA
OSAIC WEALTH, INC. · WAKEFIELD, MA
OSAIC WEALTH, INC. · WAKEFIELD, MA
AMERIPRISE FINANCIAL SERVICES, LLC · WAKEFIELD, MA

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