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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2025-08-15
  • TX RA
    APPROVED
    Since 2025-08-15

Branch Locations

13455 Noel Road 20Th Floor, Dallas, TX 75240 • 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
New York Life Insurance Co Madison WI 07/2014 03/2022
Nylife Securities, Llc Madison WI 07/2014 01/2022
Eagle Strategies, Llc Madison WI 04/2019 01/2022
Guardian Life Insurance Company Frisco TX 03/2022 04/2025
Park Avenue Securities, Llc Frisco TX 02/2022 04/2025
Massmutual Life Insurance Co Dallas TX 08/2025 Present
Mml Investors Services, Llc Dallas TX 08/2025 Present
Unemployed Prosper TX 04/2025 08/2025
  • 07/2014 → 03/2022
    New York Life Insurance Co
    Madison, WI
  • 07/2014 → 01/2022
    Nylife Securities, Llc
    Madison, WI
  • 04/2019 → 01/2022
    Madison, WI
  • 03/2022 → 04/2025
    Guardian Life Insurance Company
    Frisco, TX
  • 02/2022 → 04/2025
    Frisco, TX
  • 08/2025 → Present
    Massmutual Life Insurance Co
    Dallas, TX
  • 08/2025 → Present
    Dallas, TX
  • 04/2025 → 08/2025
    Unemployed
    Prosper, TX
Previous Registrations
Other Businesses

Name: Lonestar Financial Network Inv Rel: Y Add: At residential address Nature: Former DBA, LLC used for Financial Services Position: Head of Agency/Owner Start Date: 08/12/2025 No. Hr/Mo: 0 No. Hr/Mo During Sec Trading: 0 Duties: No active duties; holding onto LLC name.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-03-11
S63 Uniform Securities Agent State Law Examination 2010-04-19
  • S66 Uniform Combined State Law Examination
    2019-03-11
  • S63 Uniform Securities Agent State Law Examination
    2010-04-19
Other Names
  • James Wesley Allen
  • James Allen

View on SEC IAPD

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