Agency Supervisory Officer
General Securities Representative - Series 7Principal Licenses Held: - General Securities - Series 24 - Municipal Securities - Series 53 - Registered Options - Series 4California Life/Accident/Health Insurance Licensed | CA Insurance License # 0I08036As the Agency Supervisory Officer, I was a Registered Principal of MML Investors Services, LLC and managed a team of Registered Principals to oversee compliance and suitability requirements for the entire MassMutual Greater Pacific region. My role was to ensure the agency was compliant with Firm, State, and Federal guidelines. I ensured tight controls by successfully implementing an effective, sustainable, and scalable compliance program that aligned the with the firm's business strategy. This was accomplished by working closely with corporate compliance partners and financial advisors to mitigate the risks associated with working in an ever-changing regulatory environment. 9+ years of experience focused on helping financial professionals develop modern compliant practices to deliver the best possible client experiences. Working knowledge of core securities, insurance products, and investment advisory service offerings of the enterprise as well as the related firm, state, and federal regulations governing sales practices around these products and services. Specialties: Regulatory compliance with an emphasis on General securities; Insurance Products; Financial Planning; Investment Advisory Service Offerings; Investment Advisor Act of 1940; Regulatory Filings; Social Media Compliance; Trending Review and Analysis; AML compliance; Privacy policies and procedures; CA Insurance License # 0I08036 I was a Registered Representative and Registered Principal of MML Investors Services, LLC. Member SIPC (www.SIPC.org) and a MassMutual subsidiary. Supervisory address: 10960 Wilshire Blvd Suite 2100 Los Angeles, CA 90024 (310) 689- 3300
