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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 2022-09-19
NY RA APPROVED 2021-05-21
  • TX RA
    APPROVED_RES
    Since 2022-09-19
  • NY RA
    APPROVED
    Since 2021-05-21

Branch Locations

300 Corporate Pkwy Suite 216N, Amherst, NY 14226 • United States

Buffalo, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • 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 Williamsville NY 03/2013 12/2020
Northwestern Mutual Investment Services, Llc Williamsville NY 01/2013 12/2020
Northwestern Mutual Wealth Management Company Williamsville NY 09/2016 12/2020
Massmutual Life Insurance Co Amherst NY 01/2021 Present
Mml Investors Services, Llc Amherst NY 02/2021 Present
  • 03/2013 → 12/2020
    Northwestern Mutual Life Insurance Company
    Williamsville, NY
  • 01/2013 → 12/2020
    Northwestern Mutual Investment Services, Llc
    Williamsville, NY
  • 09/2016 → 12/2020
    Northwestern Mutual Wealth Management Company
    Williamsville, NY
  • 01/2021 → Present
    Massmutual Life Insurance Co
    Amherst, NY
  • 02/2021 → Present
    Amherst, NY
Other Businesses

(1) NAME: ADVOCATE HEALTH, INV REL: Y, ADD: 300 CORPORATE PKWY, STE 216N, AMHERST, NY 14226 NATURE: OUTSIDE INSURANCE SALES, POSITION: INSURANCE BROKER, START DATE: 11/01/2024, NO. HR/MO: 10, NO. HR/MO DURING SEC TRADING: 10, DUTIES: MEDICARE AND HEALTH (2) NAME: SAVOY, INV REL: Y, ADD: 300 CORPORATE PKWY, STE 216N, AMHERST, NY 14226 NATURE: OUTSIDE INSURANCE SALES, POSITION: INSURANCE BROKER, START DATE: 11/01/2024, NO. HR/MO: 10, NO. HR/MO DURING SEC TRADING: 10, DUTIES: GROUP LIFE, LONG-TERM DISABILITY AND HEALTH (3) NAME: KAFL, INV REL: Y, ADD: 300 CORPORATE PKWY, STE 216N, AMHERST, NY 14226 NATURE: OUTSIDE INSURANCE SALES, POSITION: INSURANCE BROKER, START DATE: 11/01/2024, NO. HR/MO: 10, NO. HR/MO DURING SEC TRADING: 10, DUTIES: LIFE, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES (4)NAME: RINGLER ASSOCIATES, INC, INV REL: Y ADDR: 300 CORPORATE PKWY STE 216N, AMHERST NY 14226 NATURE: STRUCTURED SETTLEMENT CONSULTING WITH RINGLER. SUPPORTING ATTORNEYS AND CLIENTS ON CASE DESIGN AND ANNUITY PLACEMENT-NO SECURITIES ACTIVITY. POSITION:STRUCTURED SETTLEMENT CONSULTANT, START: 8/25/2025, NO HR/MO: 10 NO HR/MO DUR TRADING: 2 DUTIES: IDENTIFY QUALIFIED SETTLEMENT OPPORTUNITIES, ASSIST ATTORNEYS AND CLIENTS WITH ANNUITY DESIGN AND CASE STRUCTURING, COORDINATE WITH CARRIERS, AND SUPPORT NON-SECURITIES BASED SETTLEMENT PLANNING. NO SECURITIES OR ADVISORY SERVICES INVOLVED.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2014-08-03
  • S63 Uniform Securities Agent State Law Examination
    2014-08-03
Other Names
  • William Oliver

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