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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 2025-08-18
  • CT RA
    APPROVED
    Since 2025-08-18

Branch Locations

Stratford, CT • United States

6 Corporate Drive, Shelton, CT 06484 • 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
Little Pub Restaurant Fairfield CT 08/2016 04/2020
New York Life Insurance Company Stratford CT 08/2017 02/2018
Lpl Financial Llc Shelton CT 04/2018 09/2020
Securities America, Inc. Stratford CT 09/2020 02/2023
Securities America Advisors, Inc. Stratford CT 09/2020 02/2023
Lpl Financial, Llc Stratford CT 02/2023 08/2025
Massmutual Life Insurance Co Shelton CT 08/2025 Present
Mml Investors Services, Llc Shelton CT 08/2025 Present
Jsg Tax And Asset Management Shelton CT 02/2018 09/2020
  • 08/2016 → 04/2020
    Little Pub Restaurant
    Fairfield, CT
  • 08/2017 → 02/2018
    New York Life Insurance Company
    Stratford, CT
  • 04/2018 → 09/2020
    Shelton, CT
  • 09/2020 → 02/2023
    Securities America, Inc.
    Stratford, CT
  • 09/2020 → 02/2023
    Securities America Advisors, Inc.
    Stratford, CT
  • 02/2023 → 08/2025
    Stratford, CT
  • 08/2025 → Present
    Massmutual Life Insurance Co
    Shelton, CT
  • 08/2025 → Present
    Shelton, CT
  • 02/2018 → 09/2020
    Jsg Tax And Asset Management
    Shelton, CT
Previous Registrations
  • 2023-02-01 → 2025-08-28
    Stratford, CT
    San Diego, CA
    Stratford, CT
    Westport, CT
    Newington, CT
    West Hartford, CT
    Westport, CT
    Shelton, CT
    Westport, CT
    Stratford, CT
  • 2020-09-08 → 2023-02-02
    Securities America Advisors, Inc.
    Shelton, CT
    Stratford, CT
    Stratford, CT
  • 2019-05-29 → 2020-09-17
    Shelton, CT
Other Businesses

1) Name: Mark Monteiro Inv Rel: Y Add: At Residential Address Nature: Outside Insurance Sales Position: Insurance Broker Start Date: 02/01/2023 No. Hr/Mo: 5 No. Hr/Mo During Sec Trading: 0 Duties: Life, disability, long-term care, fixed annuities, health. 2) NAME: MONTEIRO FINANCIAL GROUP, LLC INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: LLC FOR PASS THROUGH COMPENSATION POSITION: OWNER START DATE: 08/13/2020 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: DEPOSITING BUSINESS INCOME AND EXPENSES FOR TAX FLOW PURPOSES

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-05-28
  • S66 Uniform Combined State Law Examination
    2019-05-28
Designations

View on SEC IAPD

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