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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 2017-06-07
CT RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2017-06-07
  • CT RA
    APPROVED
    Since 2017-03-25

Branch Locations

34 Jerome Avenue Suite 300, Bloomfield, CT 06002 • 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
Metlife Securities Co. West Hartford CT 01/2003 03/2017
Mml Investors Services, Llc Bloomfield CT 03/2017 Present
Massachusetts Mutual Life Insurance Company Bloomsfield CT 07/2016 Present
  • 01/2003 → 03/2017
    Metlife Securities Co.
    West Hartford, CT
  • 03/2017 → Present
    Bloomfield, CT
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Bloomsfield, CT
Previous Registrations
  • 2003-07-16 → 2017-03-25
    Msi Financial Services, Inc.
    Bloomfield, CT
    Springfield, MA
  • 1997-05-29 → 2003-05-13
    Mony Securities Corporation
    West Hartford, CT
Other Businesses

1.) INDEPENDENT INSURANCE AGENT DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE 5 TRADING HOURS 1 NON TRADING HOUR START 1/2001 2.)FUNERAL DIRECTOR AND EMBALMER 3 WEEKDAY HOURS 0 WEEKEND HOURS START 7/1959 3.) OWNER-PROFESSIONAL SERVICES OF AMERICA-DBA-FROM RESIDENTIAL ADDRESS-20HRS SEC, 5HRS NONSEC-SINCE 02/2000

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2002-05-09
S63 Uniform Securities Agent State Law Examination 1998-11-16
  • S66 Uniform Combined State Law Examination
    2002-05-09
  • S63 Uniform Securities Agent State Law Examination
    1998-11-16

View on SEC IAPD

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