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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 2020-09-03
  • TX RA
    APPROVED
    Since 2020-09-03

Branch Locations

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

Dover, 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
Bank Of New York Mellon Boston MA 08/2016 05/2020
Mml Investors Services, Llc Boston MA 05/2020 Present
Mass Mutual Life Insurance Company Boston MA 04/2020 Present
  • 08/2016 → 05/2020
    Bank Of New York Mellon
    Boston, MA
  • 05/2020 → Present
    Boston, MA
  • 04/2020 → Present
    Mass Mutual Life Insurance Company
    Boston, MA
Previous Registrations
Other Businesses

NAME: HIGHLAND PEAK WEALTH, INC. INV REL: N ADD: 280 CONGRESS STREET, SUITE 1300, BOSTON, MA 02210 NATURE: PERSONAL INC. FOR MMLIS BUSINESS POSITION: MANAGING PARTNER START DATE: 02/15/2024 NO. HR/MO: 40 NO. HR/MO DURING SEC TRADING: 40 DESCRIBE DUTIES: THIS IS THE DBA OF OUR MMLIS BUSINESS ADVISORY BUSINESS. WE WORK WITH CLIENTS TO MANAGE THEIR INVESTMENTS PORTFOLIO

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-07-21
  • S66 Uniform Combined State Law Examination
    2020-07-21
Designations

View on SEC IAPD

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