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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 2017-05-30
AL RA APPROVED 2017-03-25
  • TX RA
    APPROVED
    Since 2017-05-30
  • AL RA
    APPROVED
    Since 2017-03-25

Branch Locations

3500 Colonnade Pkwy Ste 140, Birmingham, AL 35243-8303 • United States

717 Kerr Drive, Gardenale, AL 35071 • United States

Birmingham, AL • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Mml Investors Services, Llc Birmingham AL 03/2017 Present
Msi Financial Services Birmingham AL 07/2016 03/2017
Massmutual Life Insurance Company Birmingham AL 07/2016 Present
  • 03/2017 → Present
    Birmingham, AL
  • 07/2016 → 03/2017
    Msi Financial Services
    Birmingham, AL
  • 07/2016 → Present
    Massmutual Life Insurance Company
    Birmingham, AL
Previous Registrations
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Birmingham, AL
    Birmingham, AL
    Memphis, TN
  • 2008-12-04 → 2015-01-02
    New England Securities
    Birmingham, AL
  • 2001-03-02 → 2008-10-15
    Birmingham, AL
    Trussville, AL
Other Businesses

NAME: Constantine J Pihakis INV REL: Y ADD: 1101 22nd Street South, Birmingham AL 35205 NATURE: Ind Life/Health, Group Life/Health POSITION: Sales, Ownership, Agent START DATE: 04/2011 NO. HR/MO: 4 NO. HR/MO DURING SEC TRADING: 4

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2000-08-29
  • S66 Uniform Combined State Law Examination
    2000-08-29
Designations
  • Certified Financial Planner
Other Names
  • Dino Pihakis

View on SEC IAPD

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