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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
ME RA APPROVED 2012-11-30
  • ME RA
    APPROVED
    Since 2012-11-30

Branch Locations

21 Main Street Suite 204, Bangor, ME 04401 • United States

Swan'S Island, ME • 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
Massmutual Life Insurance Company Bedford NH 02/2011 Present
Mml Investors Services Bedford NH 03/2011 Present
  • 02/2011 → Present
    Massmutual Life Insurance Company
    Bedford, NH
  • 03/2011 → Present
    Mml Investors Services
    Bedford, NH
Previous Registrations
Other Businesses

(1) NAME: GARY W. FARLEY, INV REL: Y , ADD: 21 MAIN ST, STE. 204, BANGOR, ME. 04401, NATURE: INDIVIDUAL LIFE, GROUP HEALTH, FIXED ANNUITIES. POSITION: SALES. START DATE: 01/01/2000 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 2

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2000-12-12
  • S65 Uniform Investment Adviser Law Examination
    2000-12-12

View on SEC IAPD

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