Daniel Michael Smith

Current Employers

Mml Investors Services, Llc

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

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2017-05-23

NC RA
APPROVED

Since 2017-05-23

Branch Locations

Wilmington, NC • 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

Organization	City	State	From	To
Mml Investors Services, Llc	Wilmington	NC	12/1983	Present
Massmutual Life Insurance Company	Wilmington	NC	12/1978	Present

12/1983 → Present

Mml Investors Services, Llc

Wilmington, NC
12/1978 → Present

Massmutual Life Insurance Company

Wilmington, NC

Other Businesses

(1) NAME: DANIEL M. SMITH INV REL: Y ADDR: 8209 MARKET ST STE A-305 WILMINGTON NC 28411 NATURE: INDIVIDUAL LIFE, HEALTH POSITION: SALES, AGENT START: 10/1984 NO HRS/MO: 10 NO HRS/MO DUR TRADING: 0. (2) NAME: DANIEL M SMITH AND ASSOCIATES INSURANCE AND ESTATE PLANNING INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: BUSINESS EXPENSE ACCOUNT POSITION: OWNER START DATE: 04/14/2025 NO HRS/MO: 0 NO/HRS MO DUR TRADING: 0 DESCRIBE DUTIES: THIS DBA FOR HIS SOLE PROPRIETORSHIP IS TO TRACK AND PAY BUSINESS EXPENSES.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1997-06-25
S63	Uniform Securities Agent State Law Examination	1984-03-30

S65 Uniform Investment Adviser Law Examination

1997-06-25
S63 Uniform Securities Agent State Law Examination

1984-03-30