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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 2017-03-25
PA RA APPROVED 2017-03-25
  • NJ RA
    APPROVED
    Since 2017-03-25
  • PA RA
    APPROVED
    Since 2017-03-25

Branch Locations

16 Campus Blvd Suite 200, Newtown Square, PA 19073 • United States

Longport, NJ • United States

Glen Mills, PA • 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
Metlife Securities Inc. Newtown PA 01/2015 03/2017
Mml Investors Services, Llc Newtown Square PA 03/2017 Present
Massmutual Life Insurance Co Newtown Square PA 07/2016 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Newtown, PA
  • 03/2017 → Present
    Newtown Square, PA
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Newtown Square, PA
Previous Registrations
  • 2016-03-24 → 2017-12-31
    Newtown Square, PA
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Newtown Square, PA
  • 2002-06-21 → 2015-01-02
    New England Securities
    Newtown Square, PA
    Newtown Square, PA
Other Businesses

(1)NAME: UNITED SAVINGS BANK INV REL: Y ADDR: 1510 PACKER AVE PHILADELPHIA PA 19045 NATURE: COMPENSATED BOARD SERVICE- AUDIT COMMITTEE POSITION: BOARD MEMBER START: 01/2012 NO HRS: 1 NO HRS DUR TRADING: 0. (2)NAME: UNITED SAVINGS BANK INV REL: Y ADDR: 1510 PACKER AVE PHILADELPHIA PA 19045 NATURE: COMPENSATED BOARD SERVICE POSITION: BOARD MEMBER START: 01/2012 NO HRS: 1 NO HRS DUR TRADING: 0. (3)NAME: JOHN MAZZOLA INV REL: Y ADDR: 16 CAMPUS BLVD NEWTOWN SQUARE PA 19073 NATURE: INDIVIDUAL LIFE, GROUP HEALTH, DI, LONG TERM CARE INSURANCE POSITION: AGENT START: 11/2012 NO HRS: 1 NO HRS DUR TRADING: 1. (4)NAME: JOHN MAZZOLA INV REL: Y ADDR: 16 CAMPUS BLVD NEWTOWN SQUARE PA 19073 NATURE: LIFE SETTLEMENTS/VIATICALS POSITION: AGENT START: 03/01/2019 NO HRS: 2 NO HRS DUR TRADING: 2. (5)NAME: INNOVATIVE PLANNERS, LLC INV REL: Y ADDR: 16 CAMPUS BLVD NEWTOWN SQUARE PA 19073 NATURE: LLC FOR BUSINESS PURPOSES POSITION: PARTNER START: 4/1/2022 NO HRS/MO: 2 NO HRS/MO DUR TRADING: 0 DESCRIBE DUTIES: BUSINESS MANAGEMENT TO HANDLE CERTAIN THINGS LIKED SHARED EXPENSES AND NON-MMLIA INSURANCE COMMMISSIONS SOLD THROUGH THIS TEAM (EACH TEAM MEMBER HAS NON-MMLIA INSURANCE INDIVIDUALLY APPROVED AS AN OBA AS WELL).

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-09-12
  • S63 Uniform Securities Agent State Law Examination
    1986-09-12
Designations

View on SEC IAPD

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