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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 2024-08-08
CA RA APPROVED 2002-10-07
  • TX RA
    APPROVED
    Since 2024-08-08
  • CA RA
    APPROVED
    Since 2002-10-07

Branch Locations

2300 Contra Costa Blvd Suite 600, Pleasant Hill, CA 94523 • United States

Mill Valley, CA • 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
Mass Mutual Pleasant Hill CA 08/1996 Present
Mml Investors Services, Inc. Pleasant Hill CA 01/2001 Present
Lenox Advisors, Inc. Pleasant Hill CA 01/2002 Present
  • 08/1996 → Present
    Mass Mutual
    Pleasant Hill, CA
  • 01/2001 → Present
    Mml Investors Services, Inc.
    Pleasant Hill, CA
  • 01/2002 → Present
    Lenox Advisors, Inc.
    Pleasant Hill, CA
Previous Registrations
  • 2002-07-26 → 2019-03-18
    Lenox Advisors, Inc.
    San Francisco, CA
Other Businesses

NAME: LENOX ADVISORS INV REL: Y ADD: 2300 CONTRA COSTA BLVD SUITE 600, PLEASANT HILL, CA 94523 NATURE: OUTSIDE INSURANCE; INDIVIDUAL AND GROUP LIFE, INDIVIDUAL AND GROUP HEALTHPOSITION: AGENT START DATE: 1996 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 5

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2002-08-12
S65 Uniform Investment Adviser Law Examination 2002-07-12
S66 Uniform Combined State Law Examination 2002-03-25
  • S63 Uniform Securities Agent State Law Examination
    2002-08-12
  • S65 Uniform Investment Adviser Law Examination
    2002-07-12
  • S66 Uniform Combined State Law Examination
    2002-03-25
Designations
Other Names
  • Steven Richard Serrote

View on SEC IAPD

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