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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
TX RA APPROVED_RES 2017-05-26
FL RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2017-05-26
  • FL RA
    APPROVED
    Since 2017-03-25

Branch Locations

1990 Main Street Suite 750, Sarasota, FL 34236 • United States

Lakewood Ranch, FL • 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
OrganizationCityStateFromTo
Mml Investors Services, Llc Sarasota FL 03/2017 Present
Msi Financial Services Pembroke Pines FL 07/2016 03/2017
Massachusetts Mutual Life Insurance Company Sarasota FL 03/2017 Present
  • 03/2017 → Present
    Sarasota, FL
  • 07/2016 → 03/2017
    Msi Financial Services
    Pembroke Pines, FL
  • 03/2017 → Present
    Massachusetts Mutual Life Insurance Company
    Sarasota, FL
Previous Registrations
  • 2001-02-13 → 2017-03-25
    Msi Financial Services, Inc.
    Sarasota, FL
    Plantation, FL
    Plantation, FL
Other Businesses

NAME: BECKY TOCHIP INV REL: Y ADDR: 1990 MAIN STREET SUITE 750 SARASOTA FL 34236 NATURE: OUTSIDE INSURANCE BUSINESS POSITION: AGENT START: 2013 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 0 DESCRIBE DUTIES: SELL LIFE & HEALTH .

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-09-06
S65 Uniform Investment Adviser Law Examination 2000-08-30
  • S63 Uniform Securities Agent State Law Examination
    2000-09-06
  • S65 Uniform Investment Adviser Law Examination
    2000-08-30

View on SEC IAPD

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