James Edward Sugden

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

• 11/2003 → 03/2017
  Metlife Securities Inc
  Greenville, SC
• 03/2017 → Present
  Mml Investors Services, Llc
  Sarasota, FL
• 07/2016 → Present
  Massmutual Life Insurance Company
  Sarasota, FL

Previous Registrations

• 2005-01-27 → 2017-03-25
  Msi Financial Services, Inc.
  Coral Gables, FL
  Greenville, SC

Other Businesses

NAME: JAMES SUGDEN INV REL: Y ADDR: 1990 MAIN STREET, SUITE 750, SARASOTA, FL 34236 NATURE: OUSIDE INSURANCE: INDIVIDUAL LIFE, HEALTH, & GROUP HEALTH POSITION: AGENT START: 11/06/2019 NO HRS/MO: 10 NO HRS/MO DUR TRADING: 2

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-12-06
• S63 Uniform Securities Agent State Law Examination
  2004-01-08

Other Names

• Jim Sugden
• James Sugden
• Jim E Sugden