William Pergola

Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

Financial planning
Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Selection of other advisers
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Mml Investors Services, Llc

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

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-14

NY RA
APPROVED

Since 2021-06-14

Branch Locations

2200 Northern Blvd Suite 200, East Hills, NY 11548 • United States

Plainview, NY • 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 Yes
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
Metlife Securities Inc.	Lake Success	NY	12/1976	03/2017
Mml Investors Services, Llc	East Hills	NY	03/2017	Present
Massmutual Life Insurance Co	East Hills	NY	07/2016	Present

12/1976 → 03/2017

Metlife Securities Inc.

Lake Success, NY
03/2017 → Present

Mml Investors Services, Llc

East Hills, NY
07/2016 → Present

Massmutual Life Insurance Co

East Hills, NY

Other Businesses

NAME: WILLIAM PERGOLA INV REL: Y ADDR: 2200 NORTHERN BLVD, SUITE 200, EAST HILLS, NY 11548 NATURE: NONMMLIA/OUTSIDE INSURANCE: LIFE, LONG-TERM CARE, FIXED ANNUITIES POSITION: BROKER START: 07/15/2021 NO HRS/MO: 2 NO HRS/MO DUR TRADING: 1 DUTIES: SERVICE AND SALES TO EXISTING METLIFE CLIENTS.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1989-11-14

S63 Uniform Securities Agent State Law Examination

1989-11-14

View on SEC IAPD