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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 2021-08-23
  • NY RA
    APPROVED
    Since 2021-08-23

Branch Locations

88 Froehlich Farm Blvd Suite 320, Woodbury, NY 11797 • 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
OrganizationCityStateFromTo
New York Life New York NY 06/2017 08/2017
Wesleyan University Middletown CT 06/2013 06/2017
Northwestern Mutual Life Insurance Company Garden City NY 09/2017 09/2018
Northwestern Mutual Investment Services Llc Garden City NY 09/2017 09/2018
Northwestern Mutual Wealth Management Company Garden City NY 11/2017 09/2018
Police Athletic League Woodmere NY 11/2017 02/2018
Mass Mutual Life Insurance Co Woodbury NY 09/2018 Present
Mml Investors Services, Llc Woodbury NY 10/2018 Present
  • 06/2017 → 08/2017
    New York Life
    New York, NY
  • 06/2013 → 06/2017
    Wesleyan University
    Middletown, CT
  • 09/2017 → 09/2018
    Northwestern Mutual Life Insurance Company
    Garden City, NY
  • 09/2017 → 09/2018
    Northwestern Mutual Investment Services Llc
    Garden City, NY
  • 11/2017 → 09/2018
    Northwestern Mutual Wealth Management Company
    Garden City, NY
  • 11/2017 → 02/2018
    Police Athletic League
    Woodmere, NY
  • 09/2018 → Present
    Mass Mutual Life Insurance Co
    Woodbury, NY
  • 10/2018 → Present
    Woodbury, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-12-20
S63 Uniform Securities Agent State Law Examination 2017-11-04
  • S65 Uniform Investment Adviser Law Examination
    2024-12-20
  • S63 Uniform Securities Agent State Law Examination
    2017-11-04
Designations
Other Names
  • Robert Rosenberg

View on SEC IAPD

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