Articles Tagged with MML Investors Services

Jeremy LindquistPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on May 2, 2018 indicate that New Hampshire-based MML Investors Services broker/adviser Jeremy Lindquist has received several customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lindquist (CRD# 3198807).

Jeremy Lindquist has spent 10 years in the securities industry and has been registered with MML Investors Services in Manchester, New Hampshire since 2011. Previous registrations include NYLife Securities in Bedford, New Hampshire (2010-2011); Fidelity Brokerage Services in Smithfield, Rhode Island (2000-2001); and NYLife Securities in New York, New York (1999-2000). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 16, 2014; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 10, 2010; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on June 11, 2010; and Series 7 (General Securities Representative Examination), which he obtained on September 26, 2000. He is a registered broker and investment adviser with six US states: Arizona, Maine, Massachusetts, New Hampshire, Oregon, and Washington.

According to his BrokerCheck report, he has received two customer complaints and one customer complaint that was withdrawn.

Brian TraversPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that former New York-based MML Investors Services broker Brian Travers has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have disputes regarding Mr. Travers (CRD# 4767891).

Brian Travers has spent 12 years in the securities industry and was most recently registered with MML Investors Services in Melville, New York (2013-2017); Lincoln Financial Advisors Corporation in Syosset, New York (2011-2013); MetLife Securities in Hauppage, New York (2009-2011); MML investors Services in Melville, New York (2007-2009); MetLife Securities in Hauppage, New York (2004-2007); Metropolitan Life Insurance Company in Hauppage, New York (2004-2007); and LH Ross & Company in Boca Raton, Florida (2004). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 5, 2011, and Series 7 (General Securities Representative Examination), which he obtained on June 10, 2004. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from a former employer in connection to alleged rule violations.

Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2017 indicate that Washington-based MML Investors Services broker/adviser Robert Ahrendt has been named in a pending regulatory complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ahrendt (CRD# 5183328).

Robert Ahrendt has spent eleven years in the securities industry and has been registered with MML Investors’ Services in Bellevue, Washington since March 2017. Previous registrations include MSI Financial Services in Bellevue, Washington and Edward Jones in Kirkland, Washington (2006-2013). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 7, 2006, and Series 7 (General Securities Representative Examination), which he obtained on August 29, 2006. He is a registered broker and investment adviser with seven US states and territories: Alaska, Arizona, California, Florida, Oregon, Texas and Washington.

According to his BrokerCheck report, Robert Ahrendt has received one pending regulatory complaint and one denied customer complaint.

Patrick Foley

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 31st, 2017 indicate that New York-based MML Investors Services broker Patrick Foley has been the subject of a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Foley (CRD# 4807449).

Patrick Foley has spent 12 years in the securities industry and has been registered with MML Investors Services in Williamsville, New York since March 2017. Previous registrations include MSI Financial Services in Williamsville, New York (2015-2017); Citizens Securities in Depew, New York (2004-2011); MetLife Securities in Williamsville, New York (2004-2011) and Metropolitan Life Insurance Company in Williamsville, New York (2004-2007). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is registered as a broker in New York.

According to his BrokerCheck report, he has received one customer complaint and two denied customer complaints.

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