Richard Patrick Pauli

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/1989 → Present
  Mml Investors Services, Llc
  Clifton Park, NY
• 04/1988 → Present
  Massmutual Life Insurance Company
  Clifton Park, NY

Other Businesses

(1) NAME: RPP/SPD, LLC INV REL: Y ADDR: 945 ROUTE 146, STE 200, CLIFTON PARK, NY 12065 NATURE: REAL ESTATE POSITION: OWNERSHIP, PARTNER START: 2004 NO HRS/MO: 2 NO HRS/MO DUR TRADING: 2. (2) NAME: PAULI FINANCIAL GROUP, LLC INV REL: Y ADDR: 945 ROUTE 146, STE 200, CLIFTON PARK, NY 12065 NATURE: INDIVIDUAL LIFE, PROPERTY/CASUALTY, HEALTH, GROUP LIFE, GROUP HEALTH POSITION: SALES, OWNERSHIP, AGENT START: 1990 NO HRS/MO: 40 NO HRS/MO DUR TRADING: 40. UR TRADING: 0. (3) NAME: DCP, LLC INV REL: Y ADD: 945 RTE 146, STE 200, CLIFTON PARK, NY 12065 NATURE: REAL ESTATE LLC HOLDING LAND THAT MY OFFICE SITS ON POSITION: MEMBER START DATE: 01/01/2004 NO HRS/MO: 2 NO/HRS MO DUR TRADING: 2 DESCRIBE DUTIES: COLLECT RENTS, PAY BILLS AND TAXES.

Exams

• S63 Uniform Securities Agent State Law Examination
  1985-05-08

Designations

• Chartered Financial Consultant

Other Names

• Richard Patrick Paul