Joseph Patrick Mallee

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-01-30
PA	RA	APPROVED	2011-01-26

TX RA
APPROVED_RES

Since 2019-01-30
PA RA
APPROVED

Since 2011-01-26

Branch Locations

Conshohocken, PA • United States

1295 State Street, Springfield, MA 01111 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Massmutual Life Insurance Company	Center Valley	PA	01/2011	02/2025
Mml Investors Services, Llc	Center Valley	PA	01/2011	Present
Massmutual	Springfield	MA	02/2025	Present

01/2011 → 02/2025

Massmutual Life Insurance Company

Center Valley, PA
01/2011 → Present

Mml Investors Services, Llc

Center Valley, PA
02/2025 → Present

Massmutual

Springfield, MA

Previous Registrations

2010-02-23 → 2011-01-06

Hornor, Townsend & Kent, Llc

Conshohocken, PA

Other Businesses

(1) NAME: JOSEPH P MALLEE III, INV REL: Y ADDR: 3701 CORPORATE PARKWAY SUITE 320 CENTER VALLEY PA 19438, NATURE: LIFE INSURANCE, HEALTH, GROUP HEALTH, POSITION: SALES/AGENT, START: 1/3/2011, NO HR/MO: 3 NO HR/MO DUR TRADING: 3. (2) NAME: ENDINMIND CREATIONS LLC, INV REL: N ADDR: AT RESIDENTIAL ADDRESS NATURE: TECHNOLOGY INNOVATION, POSITION: OWNER, START: 4/17/2014, NO HR/MO: 5 NO HR/MO DUR TRADING: 0. (3) NAME: WOOP INV REL: Y ADDR: 3701 CORPORATE PARKWAY SUITE 320 CENTER VALLEY PA 18034, NATURE: PROPERTY AND CASUALTY POSITION: CO-CEO, REFERROR START: 09/15/2020 NO HR/MO: 3 NO HR/MO DUR TRADING: 3. DESCRIBE DUTIES: SOURCE OPPORTUNITIES TO WOOP (4) NAME: BREAKTHROUGH BIKE CHALLENGE INV REL: N ADDR: AT RESIDENTIAL ADDRESS NATURE: 501C-3 POSITION: BOARD MEMBER START: 04/01/2021 NO HR/MO: 2 NO HR/MO DUR TRADING: 0 DESCRIBE DUTIES: THIS CHARITY RAISES MONEY TO SUPPORT CANCER RESEARCH AND THE PENN ABRAMSON CANCER CENTER (5) NAME: FATHER RICK, LLC INV REL: N ADD: 280 CONGRESS STREET, SUITE 1300, BOSTON, MA 02210 NATURE: RACEHORSE OWNERSHIP POSITION: MEMBER START DATE: 03/30/2026 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 0 DUTIES: NO ACTIVE DUTIES

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2010-02-09
S63	Uniform Securities Agent State Law Examination	2001-04-02

S65 Uniform Investment Adviser Law Examination

2010-02-09
S63 Uniform Securities Agent State Law Examination

2001-04-02

View on SEC IAPD