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Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-03-25
  • CA RA
    APPROVED
    Since 2017-03-25

Branch Locations

3435 Wilshire Blvd Suite 2900, Los Angeles, CA 90010 • United States

Torrance, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc Carlsbad CA 04/2003 03/2017
Massmutual Life Insurance Co Los Angeles CA 07/2016 Present
Mml Investors Services, Llc Los Angeles CA 03/2017 Present
  • 04/2003 → 03/2017
    Metlife Securities Inc
    Carlsbad, CA
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Los Angeles, CA
  • 03/2017 → Present
    Los Angeles, CA
Previous Registrations
  • 2007-07-17 → 2017-03-25
    Msi Financial Services, Inc.
    Los Angeles, CA
    Carlsbad, CA
    Torrance, CA
    Carlsbad, CA
    Torrance, CA
    Torrance, CA
    Carlsbad, CA
    Torrance, CA
    Los Angeles, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2007-06-26
S63 Uniform Securities Agent State Law Examination 2003-07-07
  • S66 Uniform Combined State Law Examination
    2007-06-26
  • S63 Uniform Securities Agent State Law Examination
    2003-07-07
Other Names
  • James Husin Hasnah
  • James Hasnah
  • Husin James Hasnah

View on SEC IAPD

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