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GB

Gabriel S. Borthwick

MML INVESTORS SERVICES
Boston, MA 02210
Some features on this profile are disabled
CRD#: 3169759
GB

Professional summary

Gabriel Steven Borthwick, who also goes by Gabe Borthwick, is a registered financial professional currently at MML INVESTORS SERVICES, LLC located in Boston, Massachusetts and MML DISTRIBUTORS, LLC located in Boston, Massachusetts.

Gabriel is registered as a RR (Registered Representative) and started their career in finance in 1999. Gabriel has worked at 11 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gabe Borthwick

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gabriel Steven Borthwick's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 22, 2016 - Present

MML INVESTORS SERVICES, LLC

Office #1: 10 Fan Pier Blvd., Boston, MA 02210
RIA
BD
CRD#: 10409
Boston, MA
Current

June 8, 2021 - Present

MML DISTRIBUTORS, LLC

Office #1: 10 Fan Pier Blvd, Boston, MA 02210
BD
CRD#: 38030
Boston, MA
Past

April 28, 2006 - December 12, 2006

MLI DISTRIBUTION LLC

BD
CRD#: 43373
HARTFORD, CT
Past

March 30, 2006 - July 5, 2016

METLIFE INVESTORS DISTRIBUTION COMPANY

BD
CRD#: 107622
BOSTON, MA
Past

July 21, 2005 - September 4, 2013

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
BOSTON, MA
Past

December 11, 2001 - August 1, 2003

NATHAN & LEWIS SECURITIES, INC.

BD
CRD#: 8503
NEW YORK, NY
Past

November 28, 2001 - September 4, 2013

WALNUT STREET SECURITIES, INC.

BD
CRD#: 15840
BOSTON, MA
Past

September 28, 2001 - January 5, 2002

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

September 28, 2001 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
BOSTON, MA
Past

September 28, 2001 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
BOSTON, MA
Past

September 9, 1999 - January 2, 2015

NEW ENGLAND SECURITIES

BD
CRD#: 615
BOSTON, MA
Past

February 10, 1999 - August 27, 1999

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Massachusetts
(3/25/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/5/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/19/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/9/1999
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/21/2002
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/1/2000
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MD
MML DISTRIBUTORS, LLC
CONNECTICUT MUTUAL FINANCIAL SERVICES, LLC. | MML DISTRIBUTORS, LLC | MML DISTRIBUTORS, LIMITED LIABILITY COMPANY

CRD#: 38030 / SEC#: , 8-48203

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
1295 State Street, Springfield, MA 01111
Mailing Address
1295 State Street, Springfield, MA 01111
Phone number
(413) 737-8400
Established
Connecticut since 11/10/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYMEMBER
BAGGETTA, VINCENT COSIMOCHIEF RISK OFFICER2431743
DUCH III, EDWARD KARLCHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT4808341
MASSMUTUAL HOLDING LLCMEMBER
PUHALA, JAMESCHIEF COMPLIANCE OFFICER5290483
RISPOLI, FRANK JOSEPHCHIEF FINANCIAL OFFICER AND TREASURER4364402
STEELE, DOUGLAS ROBERTCHIEF EXECUTIVE OFFICER AND PRESIDENT5026710

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

MML DISTRIBUTORS, LLC

CRD#: 38030Boston, MA 02210

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