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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2017-03-25
  • OH RA
    APPROVED
    Since 2017-03-25

Branch Locations

8833 Cincinnati Dayton Road, Suite 105 & 106, West Chester, OH 45069 • 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
Metlife Securities Miamisburg OH 04/2015 Present
Massmutual Life Insurance Company West Chester OH 07/2016 Present
Mml Investors Services, Llc West Chester OH 03/2017 Present
  • 04/2015 → Present
    Metlife Securities
    Miamisburg, OH
  • 07/2016 → Present
    Massmutual Life Insurance Company
    West Chester, OH
  • 03/2017 → Present
    West Chester, OH
Previous Registrations
  • 2015-04-20 → 2017-03-25
    Msi Financial Services, Inc.
    Miamisburg, OH
    West Chester, OH
Other Businesses

(1) Name: Richard Carmel Inv rel: Y Add: At Residential Address Nature: Homeowner Association Position: Vice President Start date: 03/01/2014 No. HR/MO: 1 No. HR/MO during sec trading: 0 Describe Duties: Meet quarterly with other Board members to review home improvement applications and discuss issues within our community (2) Name: Richard Carmel Inv rel: Y Add: 8833 Cincinnati Dayton Rd, West Chester, OH 45069 Nature: Sale of Medicare supplements Position: Sales Rep Start date: 05/015/2015 No. HR/MO: 1 No. HR/MO during sec trading: 1 Describe Duties: On a very limited basis, I assist clients with Medicare supplements (3) Name: Richard Carmel Inv rel: Y Add: Residential Nature: Life, Disability, Long-Term Care, Health, Supplemental Benefits Position: Agent Start date: 02/15/2023 No. HR/MO: 1. No. HR/MO during sec trading: 0. Describe duties: Sales, referrals and service of various insurance products (4) Name: Cincinnati Chapter of Legatus Inv rel: Y Add: 4555 Lake Forest Drive, Suite 400. Cincinnati, OH 45242 Nature: Board Service Position: Treasurer Start date: 01/08/2024 No. HR/MO: 8. No. HR/MO during sec trading: 8. Describe duties: Oversee the financial affairs of the organization.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2001-02-22
  • S63 Uniform Securities Agent State Law Examination
    2001-02-22

View on SEC IAPD

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