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Thomas Alex Broadbent

Mml Investors Services, LLC

Armonk, NY

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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 2026-04-17
NY RA APPROVED 2026-03-16
  • TX RA
    APPROVED_RES
    Since 2026-04-17
  • NY RA
    APPROVED
    Since 2026-03-16

Branch Locations

200 Business Park Drive Suite 105, Armonk, NY 10504 • 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
Battlebourne Capital Management Lp New York NY 09/2016 02/2017
Axa Advisors, Llc New York NY 11/2017 03/2018
Unemployed Denver CO 03/2017 12/2017
Axa Advisors, Llc New York NY 03/2018 02/2020
Unemployed Westport CT 02/2020 02/2021
Guardian Life Insurance Company Rye Brook NY 03/2021 03/2026
Park Avenue Securities Rye Brook NY 04/2021 03/2026
Mml Investors Services, Llc Armonk NY 03/2026 Present
Massmutual Life Insurance Company Armonk NY 03/2026 Present
  • 09/2016 → 02/2017
    Battlebourne Capital Management Lp
    New York, NY
  • 11/2017 → 03/2018
    Axa Advisors, Llc
    New York, NY
  • 03/2017 → 12/2017
    Unemployed
    Denver, CO
  • 03/2018 → 02/2020
    Axa Advisors, Llc
    New York, NY
  • 02/2020 → 02/2021
    Unemployed
    Westport, CT
  • 03/2021 → 03/2026
    Guardian Life Insurance Company
    Rye Brook, NY
  • 04/2021 → 03/2026
    Park Avenue Securities
    Rye Brook, NY
  • 03/2026 → Present
    Armonk, NY
  • 03/2026 → Present
    Massmutual Life Insurance Company
    Armonk, NY
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2018-08-30
  • S66 Uniform Combined State Law Examination
    2018-08-30
Other Names
  • Alex Broadbent
  • Thomas Alexander Broadbent

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