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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 2019-06-28
NH RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2019-06-28
  • NH RA
    APPROVED
    Since 2017-03-25

Branch Locations

Manchester, NH • United States

360 Route 101 Unit 2, Bedford, NH 03110 • 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. Manchester NH 01/2015 03/2017
Mass Mutual Life Insurance Company Bedford NH 07/2016 Present
Mml Investors Services, Llc Bedford NH 03/2017 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Manchester, NH
  • 07/2016 → Present
    Mass Mutual Life Insurance Company
    Bedford, NH
  • 03/2017 → Present
    Bedford, NH
Previous Registrations
  • 2016-04-07 → 2018-02-01
    Manchester, NH
    Overland Park,, KS
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Manchester, NH
    Manchester, NH
  • 2004-06-29 → 2015-01-02
    New England Securities
    Manchester, NH
    Manchester, NH
Other Businesses

(1)Name: Michael Dimos Inv rel: Y Add: 360 Route 101 Unit 2 Bedford NH 03110 Nature: Outside Insurance; Individual Life & Group Health Position: Agent Start date: 08/06/2001 No. HR/MO: 1 No. HR/MO during sec trading: 1 (2)Name: T.E.L.A. LLC Inv rel: Y Add: 360 Route 101 Unit 2 Bedford NH 03110 Nature: Rental Income; Investment Real Estate Position: Member of LLC Start date: 01/01/2022 No. HR/MO: 1 No. HR/MO dur trading: 0 Describe duties: Property Owner (3)Name: Amherst St. Expense Sharing Group, LLC Inv rel: Y Add: 360 Route 101 Unit 2 Bedford NH 03110 Nature: LLC for sharing operating expenses for producer group Position: Member Start date: 01/03/2023 No. HR/MO: 0 No. HR/MO dur trading: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2003-02-13
S63 Uniform Securities Agent State Law Examination 2001-08-03
  • S65 Uniform Investment Adviser Law Examination
    2003-02-13
  • S63 Uniform Securities Agent State Law Examination
    2001-08-03

View on SEC IAPD

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