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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
VT RA APPROVED 2019-09-05
  • VT RA
    APPROVED
    Since 2019-09-05

Branch Locations

302 Mountain View Drive Suite 201, Colchester, VT 05446 • United States

Essex Junction, VT • 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
Equity Services, Inc. Burlington VT 04/2007 08/2019
Mass Mutual Life Insurance Company Colchester VT 06/2019 Present
Mml Investors Services, Llc Colchester VT 09/2019 Present
Previous Registrations
  • 2007-04-25 → 2019-09-03
    Colchester, VT
    Colchester, VT
  • 2007-04-02 → 2007-04-09
    Morgan Stanley & Co. Llc
    Burlington, VT
  • 2006-08-22 → 2007-04-02
    Morgan Stanley Dw Inc.
    Burlington, VT
Other Businesses

Name: Jason McFaul Inv rel: Y Add: 302 Mountain View Drive, Suite 201, Colchester VT 05446 Nature: NonMMLIA Insurance Brokerage Position: Agent Start date: 05/01/2007 No. HR/MO: 20 No. HR/MO during sec trading: 20 Describe duties: Individual Life

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-08-04
S63 Uniform Securities Agent State Law Examination 2006-07-28
  • S65 Uniform Investment Adviser Law Examination
    2006-08-04
  • S63 Uniform Securities Agent State Law Examination
    2006-07-28
Other Names
  • Jason Mcfaul

View on SEC IAPD

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