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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 2017-05-26
MO RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2017-05-26
  • MO RA
    APPROVED
    Since 2017-03-25

Branch Locations

16150 Main Circle Drive Suite 400, Chesterfield, MO 63017 • United States

Chesterfield, MO • United States

Disclosures

3 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc. St. Louis MO 01/2015 03/2017
Mml Investors Services, Llc Chesterfield MO 03/2017 Present
Massmutual Life Insurance Co Chesterfield MO 07/2016 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    St. Louis, MO
  • 03/2017 → Present
    Chesterfield, MO
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Chesterfield, MO
Previous Registrations
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    St. Louis, MO
  • 2011-06-13 → 2015-01-02
    New England Securities
    St. Louis, MO
  • 2008-12-17 → 2011-06-06
    Chesterfield, MO
  • 2007-04-03 → 2008-12-22
    St. Louis, MO
    St. Charles, MO
  • 2005-10-28 → 2007-04-02
    Belleville, IL
    O'FAllon, IL
  • 2004-07-28 → 2005-09-13
    Morgan Keegan & Company, Llc
    St. Louis, MO
  • 2003-04-01 → 2004-08-04
    Union Planters Investment Advisors, Inc.
    St. Louis, MO
  • 1998-03-04 → 2003-03-18
    Morgan Stanley Dw Inc.
    Chesterfield, MO
Other Businesses

Independent Insurance Agent - from business address - Life/Accident/Health - 1 security hours and 0 non security hours-since 12/2016

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1992-02-20
S63 Uniform Securities Agent State Law Examination 1984-10-01
  • S65 Uniform Investment Adviser Law Examination
    1992-02-20
  • S63 Uniform Securities Agent State Law Examination
    1984-10-01
Other Names
  • Gregory D Stein

View on SEC IAPD

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