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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2011-12-23
  • OH RA
    APPROVED
    Since 2011-12-23

Branch Locations

3825 Edwards Road Suite 210, Cincinnati, OH 45209 • United States

Lebanon, OH • 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 No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Mass Mutual Cincinnati OH 12/2011 Present
Mml Investors Services Cincinnati OH 12/2011 Present
  • 12/2011 → Present
    Mass Mutual
    Cincinnati, OH
  • 12/2011 → Present
    Mml Investors Services
    Cincinnati, OH
Previous Registrations
  • 2010-03-03 → 2012-01-09
    Cincinnati, OH
  • 2000-10-05 → 2010-03-04
    New England Securities
    Cincinnati, OH
    Cincinnati, OH
Other Businesses

1 NAME: MATURE STRATEGIES, LLC INV REL: Y ADD: Residential address NATURE: Individual Life, Health, Medicare, Medicaid and Disabled Veterans Benefits POSITION: AGENT & owner START DATE: 11/01/2016. No. HR/MO: 5 No. HR/MO DURING SEC TRADING: 3. 2) NAME: MATURE STRATEGIES, LLC INV REL: Y ADD: Residential address NATURE: Author Position: Owner & Agent Start: 11/01/16 NO HRS/MO: 5 NO HRS/MO dur Trading: 3.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-09-20
S63 Uniform Securities Agent State Law Examination 1984-04-06
  • S65 Uniform Investment Adviser Law Examination
    2010-09-20
  • S63 Uniform Securities Agent State Law Examination
    1984-04-06
Other Names
  • Chuck Locy

View on SEC IAPD

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