Paul Allen Waters

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
ME	RA	APPROVED	2024-05-07
OH	RA	APPROVED	2017-03-25
TX	RA	APPROVED_RES	2017-03-25

ME RA
APPROVED

Since 2024-05-07
OH RA
APPROVED

Since 2017-03-25
TX RA
APPROVED_RES

Since 2017-03-25

Branch Locations

Mariaville, ME • 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
Mml Investors Services, Llc	Cincinnati	OH	03/2017	Present
Mass Mutual Life Insurance Company	Cincinnati	OH	03/2017	Present
Metlife Securities, Inc.	Florence	KY	01/2001	03/2017

03/2017 → Present

Mml Investors Services, Llc

Cincinnati, OH
03/2017 → Present

Mass Mutual Life Insurance Company

Cincinnati, OH
01/2001 → 03/2017

Metlife Securities, Inc.

Florence, KY

Previous Registrations

2008-04-07 → 2017-03-25

Msi Financial Services, Inc.

Cincinnati, OH

Cincinnati, OH

Cincinnati, OH

Other Businesses

NAME: PAUL A WATERS DBA PILOT HOUSE WEALTH MANAGEMENT GROUP INV REL:Y ADDR: RESIDENTIAL ADDRESS NATURE: LIFE AND HEALTH INSURANCE SALES POSITION: SALES/AGENT START:6/1/2017 NO HR/MO:2 NO HR/MO DUR TRADING: 2

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-02-01
S63	Uniform Securities Agent State Law Examination	2001-03-24

S66 Uniform Combined State Law Examination

2007-02-01
S63 Uniform Securities Agent State Law Examination

2001-03-24

View on SEC IAPD