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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-06-19
ME RA APPROVED 2017-03-25
RI RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2017-06-19
  • ME RA
    APPROVED
    Since 2017-03-25
  • RI RA
    APPROVED
    Since 2017-03-25

Branch Locations

1538 Turnpike Street Suite 404, North Andover, MA 01845 • United States

Disclosures

2 disclosure categories 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 Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc. North Andover MA 01/2015 Present
Massmutual Life Insurance Co North Andover MA 07/2016 Present
Mml Investors Services, Llc North Andover MA 03/2017 Present
  • 01/2015 → Present
    Metlife Securities Inc.
    North Andover, MA
  • 07/2016 → Present
    Massmutual Life Insurance Co
    North Andover, MA
  • 03/2017 → Present
    North Andover, MA
Previous Registrations
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    North Andover, MA
  • 2007-08-06 → 2015-01-02
    New England Securities
    Boston, MA
    North Andover, MA
  • 2012-06-27 → 2014-02-21
    Overland Park,, KS
  • 2005-06-01 → 2007-08-10
    New York, NY
    North Andover, MA
    N. Andover, MA
  • 2002-08-15 → 2005-06-01
    Mony Securities Corporation
    N Andover, MA
Other Businesses

- INDEPENDENT INSURANCE AGENT - MERRIMACK INSURANCE & RETIREMENT PLANNING SERVICES - DENTAL AND GROUP DISABILITY INCOME DISABILITY LONG-TERM CARE - FROM BUSINESS ADDRESS - 15 SECURITY HOURS AND 0 NON SECURITY HOURS - SINCE 08/2007

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-08-17
S63 Uniform Securities Agent State Law Examination 1984-08-03
  • S65 Uniform Investment Adviser Law Examination
    2006-08-17
  • S63 Uniform Securities Agent State Law Examination
    1984-08-03

View on SEC IAPD

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