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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

Arcadia, CA • United States

4675 Macarthur Court Suite 1050, Newport Beach, CA 92660 • 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. Pasadena CA 01/2015 03/2017
Massmutual Life Insurance Co Newport Beach CA 07/2016 Present
Mml Investors Services, Llc Newport Beach CA 03/2017 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Pasadena, CA
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Newport Beach, CA
  • 03/2017 → Present
    Newport Beach, CA
Previous Registrations
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Pasadena, CA
  • 2005-06-14 → 2015-01-02
    New England Securities
    City Of Industry, CA
    City Of Industry, CA
    Woodland Hills, CA
    Pasadena, CA
    Pasadena, CA
    Pasadena, CA
    City Of Industry, CA
Other Businesses

Independent Insurance Agent - From Residential Address - 2 Sec Hours 0 Non Sec Hours - Selling Life/Accident/Health - Since 01/2005 (2) real estate agent license, not actively participating in the real estate business - Residential and Commercial (3) Name: Lee Gilman LLC Inv Rel: Y ADD: Residential Nature: exclusively manages family- owned 9-unit residential properties located in El Monte CA Position: LLC Member/ Manager Start Date: 1/1/2024 No. HR/MO: 2 No. HR/MO During Sec Trading: 0 Duties: (1) Deposit the tenants rent in the LLC bank account very month (2) Report the bank transactions to the CPA for the LLC tax return once a year

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2005-05-09
S63 Uniform Securities Agent State Law Examination 1998-05-20
  • S65 Uniform Investment Adviser Law Examination
    2005-05-09
  • S63 Uniform Securities Agent State Law Examination
    1998-05-20
Other Names
  • Rita Shihpinglee Yeh

View on SEC IAPD

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