James Patrick Keane

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

• 09/2015 → Present
  Mass Mutual Life Insurance Company
  Newport Beach, CA
• 10/2015 → Present
  Mml Investors Services
  Newport Beach, CA

Previous Registrations

• 2003-03-24 → 2005-09-23
  Dws Investment Management Americas, Inc.
  Costa Mesa, CA

Other Businesses

Name: James Keane Inv rel: Y Add: 4675 MacArthur Court #1050, Newport Beach, CA 92660 Nature: life, health Position: sales/agent Start date: 9/22/2015 No. HR/MO: 1 No. HR/MO during sec trading: 1 (2) Name: James Keane Inv Rel: Y ADD: Residential Nature: Trustee Position: Trustee Start Date: 3/8/2023 No. HR/MO: 1 NO. HR/MO During Sec Trading: 0 Duties: Trustee of a ILIT for the benefit of the grantor's children

Exams

• S66 Uniform Combined State Law Examination
  2003-03-20

Designations

• Chartered Financial Consultant