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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
  • NY RA
    APPROVED
    Since 2021-06-14

Branch Locations

110 Grant Ave, Endicott, NY 13760 • 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
John Hancock Mutual Life Ins. Company Auburn NY 04/1981 Present
Prl Assoc. Endicott NY 01/1995 Present
Mass Mutual Endicott NY 12/2013 Present
Mml Investors Services, Inc. Endicott NY 02/1999 Present
  • 04/1981 → Present
    John Hancock Mutual Life Ins. Company
    Auburn, NY
  • 01/1995 → Present
    Prl Assoc.
    Endicott, NY
  • 12/2013 → Present
    Mass Mutual
    Endicott, NY
  • 02/1999 → Present
    Mml Investors Services, Inc.
    Endicott, NY
Other Businesses

NAME: PRL ASSOCIATES, NOT INV REL, ADDRESS: 110 GRANT AVE ENDICOTT NY NATURE: APPOINTED WITH VARIOUS INS CARRIERS OUTSIDE MASSMUTUAL SYSTEM TITLE: BROKER DUTIES: BROKER FOR SEVERAL CARRIERS FOR PRODUCT LIKE P & C, LIFE START: 1993 HR/MNTHLY: 20 HR DURING TRADING: 20

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1987-06-02
  • S63 Uniform Securities Agent State Law Examination
    1987-06-02

View on SEC IAPD

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