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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-05-30
MI RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2017-05-30
  • MI RA
    APPROVED
    Since 2017-03-25

Branch Locations

3000 Town Center Suites 2900 And 3100, Southfield, MI 48075 • United States

Howell, MI • 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
Metlife Securities Inc. Southfield MI 01/2015 03/2017
Massmutual Life Insurance Co Southfield MI 07/2016 Present
Mml Investors Services, Llc Southfield MI 03/2017 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Southfield, MI
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Southfield, MI
  • 03/2017 → Present
    Southfield, MI
Previous Registrations
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Southfield, MI
    Southfield, MI
    Southfield, MI
  • 2010-11-17 → 2015-01-02
    New England Securities
    Mt. Clemens, MI
    Southfield, MI
Other Businesses

(1) Name: D&H Wealth Management Inv Rel: Y Add: 3000 Town Center Suite 3100 Southfield, MI. 48075 Nature: Outside Insurance Sales Position: Insurance Broker Start Date: 09/01/1999 No. Hr/Mo: 0 No. Hr/Mo During Sec Trading: 8 Duties: Life, Disability, Long-Term Care and Fixed Annuities (2) Name: Gerald Doran Inv rel: Y Add: At residential address Nature: Rental Income Position: Co-owner Start date: 11/25/2019 No. HR/MO: 4 No. HR/MO during sec trading: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-11-05
S63 Uniform Securities Agent State Law Examination 1999-07-31
  • S66 Uniform Combined State Law Examination
    2010-11-05
  • S63 Uniform Securities Agent State Law Examination
    1999-07-31

View on SEC IAPD

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