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Advisor at MML INVESTORS SERVICES, LLC
EAST PROVIDENCE, 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 | EAST PROVIDENCE, RI | Current employment |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Jan 2, 2015 | Mar 25, 2017 | no | EAST PROVIDENCE, RI | Previous registration |
| Mariner | Independent wealth | Jul 2, 2010 | Apr 5, 2018 | no | OVERLAND PARK,, KS | Previous registration |
| NEW ENGLAND SECURITIES CORPORATION | Former SEC adviser | Apr 8, 2005 | Jan 2, 2015 | no | EAST PROVIDENCE, RI|RIVERSIDE, RI | Previous registration |
| WS GRIFFITH SECURITIES, INC. | n/a | Jun 3, 2002 | Jun 1, 2004 | no | 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 | Jul 2, 2010 | -1,645 | Firm change after gap | Other |
| WS GRIFFITH SECURITIES, INC. | NEW ENGLAND SECURITIES CORPORATION | Jun 1, 2004 | Apr 8, 2005 | 311 | 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 | Jul 2, 2010 | RIVERSIDE, RI | Firm change after gap |