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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IA RA APPROVED 1999-11-23
  • IA RA
    APPROVED
    Since 1999-11-23

Branch Locations

2550 Middle Road Suite 204, Bettendorf, IA 52722 • 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
Mml Investors Services, Llc Bettendorf IA 03/1996 Present
Massmutual Life Insurance Company Bettendorf IA 03/1996 Present
Other Businesses

(1.) NAME:NO BUSINESS NAME. INV REL:N. ADD:4828 BROWN STREET, DAVENTPORT, IA 52806. NATURE:SPORTS OFFICIAL. POSITION:MAC COMMISSIONER. START DATE:01/01/2004. NO. HR/MO:15. NO. HR/MO DURING SEC TRADING:8. DESCRIBE DUTIES:ASSIGNING HS SPORTS. (2.) NAME:RIG NECK KENNELS. INV REL:N. ADD:4828 BROWN STREET, DAVENPORT, IA 52806. NATURE:DOG BREEDING AND DOG SHOWING. POSITION:OWNERSHIP. START DATE:12/01/2008. NO. HR/MO:40. NO. HR/MO DURING SEC TRADING:0.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-08-18
  • S63 Uniform Securities Agent State Law Examination
    1986-08-18
Other Names
  • Mike Botts

View on SEC IAPD

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