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Advisor at MML INVESTORS SERVICES, LLC
ESTERO, FL | BONITA SPRINGS, FL | Westerly, RI
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Mar 25, 2017 | n/a | yes | Westerly, RI|ESTERO, FL|BONITA SPRINGS, FL | Current employment |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Jan 2, 2015 | Mar 25, 2017 | no | WESTERLY, RI | Previous registration |
| Mariner | Independent wealth | Oct 18, 2013 | Apr 5, 2018 | no | OVERLAND PARK,, KS | Previous registration |
| NEW ENGLAND SECURITIES CORPORATION | Former SEC adviser | Jan 23, 2004 | Jan 2, 2015 | no | WARWICK, RI|PAWCATUCK, CT|BOSTON, MA|WESTERLY, RI | Previous registration |
| VERAVEST INVESTMENT ADVISORS, INC. | n/a | Mar 26, 1999 | Dec 11, 2003 | no | EAST PROVIDENCE , RI | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| Mariner | MSI FINANCIAL SERVICES, INC. | Apr 5, 2018 | Jan 2, 2015 | -1,189 | Firm change after gap | Other |
| MSI FINANCIAL SERVICES, INC. | MML INVESTORS SERVICES, LLC | Mar 25, 2017 | Mar 25, 2017 | 0 | Bulk transfer | Other |
| NEW ENGLAND SECURITIES CORPORATION | Mariner | Jan 2, 2015 | Oct 18, 2013 | -441 | Firm change after gap | Other |
| VERAVEST INVESTMENT ADVISORS, INC. | NEW ENGLAND SECURITIES CORPORATION | Dec 11, 2003 | Jan 23, 2004 | 43 | Firm change | Other |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 151664:14251:KS:2018-04-05 | Apr 5, 2018 | Jan 2, 2015 | OVERLAND PARK,, KS | Firm change after gap |
| 615:151664:RI:2015-01-02 | Jan 2, 2015 | Oct 18, 2013 | WESTERLY, RI | Firm change after gap |