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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2025-04-30
  • CT RA
    APPROVED
    Since 2025-04-30

Branch Locations

45 Glastonbury Boulevard 1St Floor, Glastonbury, CT 06033 • United States

Fairfield, CT • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities, Llc Shelton CT 07/2023 11/2024
Citibank New York NY 08/2018 06/2023
Columbia Business School New York NY 08/2016 05/2018
The Prudential Insurance Co. Of America Shelton CT 11/2023 04/2025
Lpl Enterprise, Llc Shelton CT 11/2024 04/2025
Citigroup Global Markets Inc. New York NY 05/2017 06/2023
Massmutual Life Insurance Co Glastonbury CT 04/2025 Present
Mml Investors Services, Llc Glastonbury CT 04/2025 Present
  • 07/2023 → 11/2024
    Shelton, CT
  • 08/2018 → 06/2023
    Citibank
    New York, NY
  • 08/2016 → 05/2018
    Columbia Business School
    New York, NY
  • 11/2023 → 04/2025
    The Prudential Insurance Co. Of America
    Shelton, CT
  • 11/2024 → 04/2025
    Shelton, CT
  • 05/2017 → 06/2023
    Citigroup Global Markets Inc.
    New York, NY
  • 04/2025 → Present
    Massmutual Life Insurance Co
    Glastonbury, CT
  • 04/2025 → Present
    Glastonbury, CT
Previous Registrations
Other Businesses

(1)Name: Fraternity of Delta Psi/Saint Anthony Hall Inv rel: N Add: 1417 Shelby St., Indianapolis, IN 46203 Nature: Board Service for co-ed collegiate fraternity Position: Vice President Start date: 01/01/2025 No. HR/MO: 10 No. HR/MO during sec trading: 0 Describe duties: Oversee functioning of co-ed collegiate fraternity at a national level. Work with other officers to visit 11 undergraduate chapters, meet with graduate organizations, and school administration. (2)Name: Etsy Shop Inv rel: N Add: At Residential Address Nature: Retail Sales involving the selling of stickers and stationary Position: Shop Owner Start date: 05/01/2020 No. HR/MO: 3 No. HR/MO during sec trading: 0 Describe duties: Design, create, package and mail stationary items. (3)Name: Alice Rha Inv rel: Y Add: At Residential Address Nature: Outside Insurance Sales Position: Insurance Broker Start date: 03/18/2025 No. HR/MO: 5 No. HR/MO during sec trading: 0 Describe duties: Life, Disability, Long-term care, Fixed annuities, and Health

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-10-25
  • S66 Uniform Combined State Law Examination
    2023-10-25
Other Names
  • Alice Rha
  • Alice Rha

View on SEC IAPD

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