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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 2021-06-14
FL RA APPROVED 2017-03-25
TX RA APPROVED 2017-03-25
  • NY RA
    APPROVED
    Since 2021-06-14
  • FL RA
    APPROVED
    Since 2017-03-25
  • TX RA
    APPROVED
    Since 2017-03-25

Branch Locations

400 Meridian Centre Suite 315, Rochester, NY 14618 • 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
OrganizationCityStateFromTo
Metlife Securities, Inc. Rochester NY 01/1990 03/2017
Massmutual Life Insurance Co Rochester NY 07/2016 Present
Mml Investors Services, Llc Rochester NY 03/2017 Present
  • 01/1990 → 03/2017
    Metlife Securities, Inc.
    Rochester, NY
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Rochester, NY
  • 03/2017 → Present
    Rochester, NY
Previous Registrations
  • 2008-10-21 → 2017-03-25
    Msi Financial Services, Inc.
    Bonita Springs, FL
    Ft Meyers, FL
    Rochester, NY
    Ft. Myers, FL
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-06-01
  • S63 Uniform Securities Agent State Law Examination
    1987-06-01
Designations

View on SEC IAPD

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