Brian Norton Caine

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:

Current Employers

Mml Investors Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-04-10

TX RA
APPROVED_RES

Since 2023-04-10

Branch Locations

330 Whitney Avenue Suite 600, Holyoke, MA 01040 • 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 Yes
Termination No

Employment History

Organization	City	State	From	To
Massmutual Life Insurance Company	Holyoke	MA	02/2003	Present
Mml Investors Services,Inc.	Holyoke	MA	03/2003	Present

02/2003 → Present

Massmutual Life Insurance Company

Holyoke, MA
03/2003 → Present

Mml Investors Services,Inc.

Holyoke, MA

Previous Registrations

2002-08-15 → 2003-02-03

Usi Securities, Inc.

Glastonbury, CT

Other Businesses

NAME: BRIAN N. CAINE, INSURANCE BROKER INV REL: Y ADD: 330 WHITNEY AVE STE 600 HOLYOKE MA NATURE: LIFE INSURANCE, DI INSURANCE, LTC, HEALTH AND FIXED ANNUITIES WITH VARIOUS CARRIERS POSITION: BROKER START: 02/23/10 HR/MO: 4 HR DURING TRADING: 0 DUTIES: SALES AND SERVICES OF LIFE INSURANCE, DI INSURANCE, LTC, HEALTH AND FIXED ANNUITIES WITH VARIOUS CARRIERS

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2001-12-31
S63	Uniform Securities Agent State Law Examination	1986-12-05

S66 Uniform Combined State Law Examination

2001-12-31
S63 Uniform Securities Agent State Law Examination

1986-12-05

View on SEC IAPD