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Charles David Fazio

Mml Investors Services, LLC

New Castle, DE

Pennsauken, NJ

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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2024-08-23
DE RA APPROVED 2023-09-29
  • NJ RA
    APPROVED
    Since 2024-08-23
  • DE RA
    APPROVED
    Since 2023-09-29

Branch Locations

15 Reads Way Suite 210, New Castle, DE 19720 • United States

Pennsauken, NJ • 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 No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massmutual Life Insurance Co New Castle DE 11/2014 Present
Mml Investors Services, Llc New Castle DE 01/2016 Present
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-08-15
S63 Uniform Securities Agent State Law Examination 2020-03-02
  • S66 Uniform Combined State Law Examination
    2023-08-15
  • S63 Uniform Securities Agent State Law Examination
    2020-03-02
Other Names
  • Charles D Fazio

View on SEC IAPD

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Other Offices

VOYA FINANCIAL ADVISORS, INC. · NEW CASTLE, DE
CITIGROUP GLOBAL MARKETS INC. · New Castle, DE
BLUE DIAMOND FINANCIAL GROUP, LLC · NEW CASTLE, DE
PNC WEALTH MANAGEMENT LLC · NEW CASTLE, DE
CITIZENS SECURITIES, INC. · NEW CASTLE, DE
STATE FARM INVESTMENT MANAGEMENT CORP. · Newcastle, DE
J.P. MORGAN SECURITIES LLC · Newark, DE
AMERIPRISE FINANCIAL SERVICES, LLC · WILMINGTON, DE

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