David Stuart Kates

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 03/2005 → Present
  Mass Mutual Life Insurance Company
  New York, NY
• 03/2005 → Present
  Mml Investors Services, Llc
  New York, NY
• 03/2005 → Present
  Lenox Advisors, Inc.
  New York, NY

Previous Registrations

• 2012-03-02 → 2021-12-14
  Lenox Advisors, Inc.
  New York, NY
• 2011-05-16 → 2011-07-22
  Lenox Advisors, Inc.
  New York, NY
• 2002-09-13 → 2005-03-07
  Equitable Advisors, Llc
  Lake Success, NY

Other Businesses

NAME:DAVID KATES / LENOX ADVISORS INV REL: Y ADD: 90 PARK AVENUE 18TH FLOOR NEW YORK NY 10016 NATURE: NONMMLIA INSURANCE BROKERAGE POSITION: AGENT START DATE: 04/1/05 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 5 DESCRIBE DUTIES: INDIVIDUAL LIFE AND GROUP HEALTH INSURANCE..

Exams

• S66 Uniform Combined State Law Examination
  2002-08-19

Designations

• Chartered Financial Consultant