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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NY RA APPROVED 2021-06-14
  • NY RA
    APPROVED
    Since 2021-06-14

Branch Locations

300 Corporate Pkwy Suite 216N, Amherst, NY 14226 • 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
Metlife Securities Inc. Orchard Park NY 02/1988 03/2017
Mml Investors Services, Llc Amherst NY 03/2017 Present
Massmutual Life Insurance Co Amherst NY 07/2016 Present
  • 02/1988 → 03/2017
    Metlife Securities Inc.
    Orchard Park, NY
  • 03/2017 → Present
    Amherst, NY
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Amherst, NY
Other Businesses

1) Independent Insurance Agent - from business address - Life/Accident/Health - 1 security hours and 0 non security hours - since 03/2010 2) Independent Insurance Agent - partners auto & home group, llc Property & Casualty from business address - 4 security hours and 0 non security hours - since 07/2016 3) NAME: Kealy's Kindness Foundation INV REL: N ADD: South Park Ave, Blasdell NY NATURE: Assisting teenage girls dealing with cancer POSITION: Board Member START DATE: 01/01/2018 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 2 DESCRIBE DUTIES: As a group assisting over 100 local teenage girls and their families deal with the ravaging effects of cancer by providing physical, financial, emotional and practical support as needed. 4) Name: Orchard Park High School Academy of Finance, Inv Rel: N Addr: 4040 Baker Road, Orchard Park NY 14127, Nature: Promoting financial literacy to high school students, Position:Board Member, Start: 9/1/2005, No Hr/Mo:8 No Hr/Mo dur trading: 4 duties: Meeting with other members of the local business community to educate and bring better understanding to students of the financial needs to succeed personally and professionally.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1985-04-22
  • S63 Uniform Securities Agent State Law Examination
    1985-04-22

View on SEC IAPD

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