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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 2017-03-25
  • TX RA
    APPROVED
    Since 2017-03-25

Branch Locations

Cypress, TX • United States

3040 Post Oak Boulevard Suite 2000, Houston, TX 77056 • 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 Houston TX 07/2002 03/2017
Massmutual Life Insurance Co Houston TX 07/2016 Present
Mml Investors Services, Llc Houston TX 03/2017 Present
  • 07/2002 → 03/2017
    Metlife Securities Inc
    Houston, TX
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Houston, TX
  • 03/2017 → Present
    Houston, TX
Previous Registrations
  • 2004-02-03 → 2017-03-25
    Msi Financial Services, Inc.
    Houston, TX
    Houston, TX
Other Businesses

(1) NAME: RENTAL PROPERTY - 1512 SKYLINE HILLS INV REL: Y ADD: 1512 SKYLINE HILLS CANYON LAKE TX 78133 NATURE: SIMPLE RENTAL PROPERY POSITION: OWNER START DATE: 08/15/2022 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 0 (2)NAME: ALBIN GUILLOT III INV REL: N ADD:NRG STADIUM, NRG PARKWAY, HOUSTON, TX 77054 NATURE: NFL GAME TICKET AMBASSADOR POSITION: DIGITAL TICKETING AMBASSADOR START DATE: 10/19/2023 NO. HR/MO: 8 NO. HR/MO DURING SEC TRADING: 0 DUTIES: ENSURE GUESTS ON CLUB LEVEL HAVE VALID CREDENTIALS (3)NAME: ALBIN GUILLOT INV REL: N ADD: RESIDENTIAL NATURE: FREELANCE WRITER FOCUSED ON FALLEN US ARMED SERVICE MEMBERS TO RAISE AWARNESS POSITION: OWNER, OPERATOR, CONTENT CREATOR START DATE: 05/10/2025 NO. HR/MO: 5. NO. HR/MO DURING SEC TRADING: 0. DUTIES: AUTHOR OF CONTENT. (4) NAME: HOUSTON ASTROS TEAM STORE INV REL: N ADD: 501 CRAWFORD ST, HOUSTON TX 77002 NATURE: RETAIL SALES - MLB BASEBALL CLUB RETAIL SALES AT STADIUM POSITION: TEAM STORE WAREHOUSE ASSOCIATE START DATE: 03/1/2026 No. HR/MO: 16. No. HR/MO DURING SEC TRADING: 0. DESCRIBE DUTIES: FULFILL ORDERS TO RETAIL STORES WITHIN STADIUM FOR MLB MERCHANDISE.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-01-30
S63 Uniform Securities Agent State Law Examination 2002-07-26
  • S66 Uniform Combined State Law Examination
    2004-01-30
  • S63 Uniform Securities Agent State Law Examination
    2002-07-26
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant
Other Names
  • Al Guillot

View on SEC IAPD

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