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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
CA RA APPROVED 2016-12-12
  • CA RA
    APPROVED
    Since 2016-12-12

Branch Locations

6080 Center Drive Suite 120, Los Angeles, CA 90045 • United States

Los Angeles, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Cake Monkey Bakery Los Angeles CA 07/2006 Present
Massmutual Life Insurance Company Los Angeles CA 08/2016 Present
Mml Investors Services, Llc Los Angeles CA 09/2016 Present
  • 07/2006 → Present
    Cake Monkey Bakery
    Los Angeles, CA
  • 08/2016 → Present
    Massmutual Life Insurance Company
    Los Angeles, CA
  • 09/2016 → Present
    Los Angeles, CA
Previous Registrations
  • 2011-12-06 → 2016-08-18
    Los Angeles, CA
    Malibu, CA
    Beverly Hills, CA
    Los Angeles, CA
    Beverly Hills, CA
    Santa Monica, CA
    Santa Monica, CA
    Beverly Hills, CA
    Malibu, CA
    Malibu, CA
    Los Angeles, CA
  • 2010-03-04 → 2011-12-07
    Chase Investment Services Corp.
    Los Angeles, CA
    Beverly Hills, CA
  • 2007-03-23 → 2010-02-26
    Signator Investors, Inc.
    Irvine, CA
    Irvine, CA
    Calabasas, CA
  • 2003-01-06 → 2007-01-03
    Los Angeles, CA
    Long Beach, CA
Other Businesses

(1) NAME: JEREMIAH WILLIAMSON INV REL: Y ADD: 6080 CENTER DRIVE STE 120 LOS ANGELES CA 90045 NATURE: INDIVIDUAL LIFE/HEALTH POSITION: SALES START DATE: 9/8/16 NO HRS/MO: 2 NO HRS/MO DUR TRADING: 2 (2)NAME: CAKE MONKEY BAKERY LLC INV REL:Y ADD: 10844 CHANDLER BLVD NORTH HOLLYWOOD CA 91601; NATURE: RETAIL AND WHOLESALE BAKERY POSITION: CO-OWNER WITH WIFE START DATE 2/1/07; NO HRS/MO:10 NO HRS/MO DUR TRADING: 0 DUTIES ARE TO ADVISE ON STRATEGIC BUSINESS DECISIONS.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2003-01-03
  • S66 Uniform Combined State Law Examination
    2003-01-03
Designations
  • Certified Financial Planner

View on SEC IAPD

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