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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2017-03-25
  • NC RA
    APPROVED
    Since 2017-03-25

Branch Locations

4350 Congress Street Suite 300, Charlotte, NC 28209 • United States

Charlotte, 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
OrganizationCityStateFromTo
Metlife Securities Inc. Charlotte NC 01/2015 03/2017
Mass Mutual Life Insurance Co Charlotte NC 07/2016 Present
Mml Investors Services, Llc Charlotte NC 03/2017 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Charlotte, NC
  • 07/2016 → Present
    Mass Mutual Life Insurance Co
    Charlotte, NC
  • 03/2017 → Present
    Charlotte, NC
Previous Registrations
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Charlotte, NC
  • 2001-12-31 → 2015-01-02
    New England Securities
    Charlotte, NC
    Charlotte, NC
Other Businesses

NAME: ROBERT ADAMS INV REL: Y ADD: COLCHESTER CT NATURE: SIMPLE RENTAL PROPERTY POSITION: OWNER START DATE: 12/23/2024 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 2 DESCRIBE DUTIES: COLLECT RENT AND PAY PROPERTY EXPENSES.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 1999-03-05
  • S66 Uniform Combined State Law Examination
    1999-03-05
Designations
Other Names
  • Rick Adams
  • Robert N Adams

View on SEC IAPD

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