Robert Charles Carty

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
CA	RA	APPROVED	2011-01-05

CA RA
APPROVED

Since 2011-01-05

Branch Locations

74-710 Highway 111 Unit 102, Palm Desert, CA 92260 • United States

Palm Desert, CA • 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 No
Termination Yes

Employment History

Organization	City	State	From	To
Mass Mutual	Palm Desert	CA	05/2009	Present
Mml Investors Services Inc	Palm Desert	CA	08/2009	Present

05/2009 → Present

Mass Mutual

Palm Desert, CA
08/2009 → Present

Mml Investors Services Inc

Palm Desert, CA

Previous Registrations

2004-10-14 → 2009-05-12

Northwestern Mutual Investment Services, Llc

Los Angeles, CA

Los Angeles, CA
2004-02-13 → 2004-09-13

Sentra Securities Corporation

Pasadena, CA

Other Businesses

NAME: ROBERT CARTY INV REL: Y ADD: RESIDENTIAL NATURE: INDIVDUAL LIFE, GROUP LIFE/HEALTH POSITION: SALES START DATE: 11/2004 NO. HR/MO: 13 NO. HR/MO DURING SEC TRADING: 13

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2002-10-28
S63	Uniform Securities Agent State Law Examination	1984-09-04

S66 Uniform Combined State Law Examination

2002-10-28
S63 Uniform Securities Agent State Law Examination

1984-09-04

Other Names

Robert Charles Carty
Robert Charles Carty

View on SEC IAPD