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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 2024-07-10
AL RA APPROVED 2022-09-20
  • TX RA
    APPROVED
    Since 2024-07-10
  • AL RA
    APPROVED
    Since 2022-09-20

Branch Locations

3000 Riverchase Suite 750, Birmingham, AL 35244 • 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
Northwestern Mutual Life Insurance Company Hoover AL 09/2010 08/2022
Northwestern Mutual Investment Services, Llc Hoover AL 09/2010 08/2022
Northwestern Mutual Wealth Management Company Hoover AL 01/2016 08/2022
Mml Investors Services, Llc Birmingham AL 09/2022 Present
Massmutual Life Insurance Company Birmingham AL 07/2017 Present
  • 09/2010 → 08/2022
    Northwestern Mutual Life Insurance Company
    Hoover, AL
  • 09/2010 → 08/2022
    Hoover, AL
  • 01/2016 → 08/2022
    Northwestern Mutual Wealth Management Company
    Hoover, AL
  • 09/2022 → Present
    Birmingham, AL
  • 07/2017 → Present
    Massmutual Life Insurance Company
    Birmingham, AL
Previous Registrations
Other Businesses

1) NAME: HOPE FOR AUTUMN FOUNDATION INV REL: Y ADDR: 3722 CHALYBE WALK, HOOVER, AL 35226 NATURE: NON-PROFIT POSITION: TREASURER START: 06/03/2021 NO HRS/MO: 2 NO HRS/MO DUR TRADING: 0. 2) NAME: PIEDMONT INSURANCE BROKERAGE INV REL: Y ADD: 1050 CROWN POINTE PKWY, STE. 1800, ATLANTA GA 30338 NATURE: INSURANCE SALES POSITION: INSURANCE BROKER START DATE: 01/01/2025 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1 DESCRIBE DUTIES: SALES AND SERVICES INDIVIDUAL LIFE, Disability & LTC 3) NAME: VERITAS FINANCIAL PARTNERS, LLC INV REL: Y ADD: 3000 RIVERCHASE, STE 750, BIRMINGHAM, AL 35244 NATURE: OWNER OF LLC FOR PASS THROUGH COMPENSATION POSITION: PARTNER START DATE: 01/18/2025 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1 DESCRIBE DUTIES: MONITORING THE LLC AS PASS-THROUGH ENTITY FOR EXPENSES AND PAYROLL

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-09-23
  • S66 Uniform Combined State Law Examination
    2011-09-23
Other Names
  • Bob Ross
  • Robert J Ross
  • Robert Ross

View on SEC IAPD

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