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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-03-25
  • CA RA
    APPROVED
    Since 2017-03-25

Branch Locations

La Habra, CA • United States

3435 Wilshire Blvd Suite 2900, Los Angeles, CA 90010 • 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
Metlife Securities Inc. Los Angeles CA 03/1999 03/2017
Massmutual Life Insurance Co Los Angeles CA 07/2016 Present
Mml Investors Services, Llc Los Angeles CA 03/2017 Present
  • 03/1999 → 03/2017
    Metlife Securities Inc.
    Los Angeles, CA
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Los Angeles, CA
  • 03/2017 → Present
    Los Angeles, CA
Previous Registrations
  • 2005-10-17 → 2017-03-25
    Msi Financial Services, Inc.
    Los Angeles, CA
    Brea, CA
    City Of Industry, CA
    Los Angeles, CA
    Fullerton, CA
    City Of Industry, CA
Other Businesses

NAME: Yong Bum Kim INV REL: Y ADD: Residential NATURE: NonMMLIA Insurance Brokerage/Health POSITION: Agent START DATE: 12/01/2004 NO. HR/MO: 8 NO. HR/MO DURING SEC TRADING: 4 (2)NAME: Wash & Dry Laundromat INV REL: N ADD: 6033 E Florence Ave, Bell Gardens, CA 90201 NATURE: Other/Coin operated laundry business POSITION: Ownership START DATE: 12/01/2002 NO. HR/MO: 40 NO. HR/MO DURING SEC TRADING: 20

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-09-01
S63 Uniform Securities Agent State Law Examination 1997-04-14
  • S65 Uniform Investment Adviser Law Examination
    2005-09-01
  • S63 Uniform Securities Agent State Law Examination
    1997-04-14

View on SEC IAPD

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