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Mml Investors Services, LLC CRD 10409
$116B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| FL | RA | APPROVED | 2025-04-30 |
| CT | RA | APPROVED | 2025-01-03 |
Branch Locations
225 High Ridge Road East Bldg 1St Floor, Stamford, CT 06905 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| The Windmill Group, Inc. | Armonk | NY | 11/1993 | 05/2024 |
| Mml Investors Services Llc | Stamford | CT | 05/2024 | Present |
| Massmutual Life Insurance Co | Stamford | CT | 05/2024 | Present |
(1)NAME: THE WINDMILL GROUP, INC. INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: S-CORP POSITION: MEMBER/OWNER START DATE: 1/1/1994 NO HRS/MO: 0 NO HRS/MO DUR TRADING: 0 DESCRIBE DUTIES: ESTABLISHED FOR EXPENSE MANAGEMENT PURPOSES. (2)NAME: GREG CAPOZZI INV REL: N ADD: RESIDENTIAL ADDRESS NATURE: SPORTS OFFICIAL POSITION: YOUTH BASEBALL UMPIRE START DATE: 4/1/2024 NO HRS/MO: 16 NO HRS/MO DUR TRADING: 0 DESCRIBE DUTIES: UMPIRE YOUTH BASEBALL GAMES.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-11-23 |
| S63 | Uniform Securities Agent State Law Examination | 1993-12-29 |
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