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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
NV RA APPROVED 2025-10-08
  • NV RA
    APPROVED
    Since 2025-10-08

Branch Locations

Henderson, NV • United States

1700 South Pavilion Center Drive Suite 320, Las Vegas, NV 89135 • 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
Key Bank Brooklyn OH 08/2005 03/2023
Key Investment Services Llc Brooklyn OH 02/2006 03/2023
Massmutual Life Insurance Company Las Vegas NV 02/2025 Present
Mml Investors Services, Llc Las Vegas NV 02/2025 Present
Self Employed Hendersonville NV 03/2023 07/2023
Valley View Home Loans Las Vegas NV 07/2023 02/2024
Cross Country Mortgage Cleveland OH 02/2024 02/2025
  • 08/2005 → 03/2023
    Key Bank
    Brooklyn, OH
  • 02/2006 → 03/2023
    Brooklyn, OH
  • 02/2025 → Present
    Massmutual Life Insurance Company
    Las Vegas, NV
  • 02/2025 → Present
    Las Vegas, NV
  • 03/2023 → 07/2023
    Self Employed
    Hendersonville, NV
  • 07/2023 → 02/2024
    Valley View Home Loans
    Las Vegas, NV
  • 02/2024 → 02/2025
    Cross Country Mortgage
    Cleveland, OH
Previous Registrations
  • 2006-02-07 → 2011-05-06
    Tacoma, WA
    Brooklyn, OH
  • 2003-07-17 → 2005-08-10
    Wells Fargo Investments, Llc
    San Francisco, CA
Other Businesses

(1) NAME: JOHN ROEHM INV REL: Y ADD: 1700 S PAVILION CENTER DRIVE SUITE 320 LAS VEGAS NV 89135 NATURE: OUTSIDE INSURANCE SALES POSITION: INSURANCE BROKER START DATE: 01/24/2025 NO. HR/MO: 1NO. HR/MO DURING SEC TRADING: 1 DUTIES: LIFE, DI, LTC, FIXED ANNUITIES, HEALTH (2) NAME: ACE COMMERCIAL CAPITAL INV REL: Y ADD: 2201 RINGLING BLVD, SUITE 102 SARASOTA FL 34237 NATURE: RESIDENTIAL & COMMERCIAL REAL ESTATE FINANCING POSITION: BUSINESS DEVELOPER START DATE: 07/01/2025 NO. HR/MO: 20 NO. HR/MO DURING SEC TRADING: 0 DUTIES: REFER RESIDENTIAL AND COMMERCIAL REAL ESTATE LOANS TO LOAN OFFICERS (3) NAME: CORNERSTONE FIRST MORTGAGE INV REL: Y ADD: 5940 S RAINBOW BLVD LAS VEGAS NV 89118 NATURE: RESIDENTIAL REAL ESTATE FINANCING POSITION: BUSINESS DEVELOPER START DATE: 04/01/2026 NO. HR/MO: 20 NO. HR/MO DURING SEC TRADING: 0 DUTIES: REFER RESIDENTIAL REAL ESTATE LOANS TO LOAN OFFICERS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-09-30
S66 Uniform Combined State Law Examination 2003-07-15
  • S65 Uniform Investment Adviser Law Examination
    2025-09-30
  • S66 Uniform Combined State Law Examination
    2003-07-15

View on SEC IAPD

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