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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
NJ RA APPROVED 2017-03-25
PA RA APPROVED 2017-03-25
  • NJ RA
    APPROVED
    Since 2017-03-25
  • PA RA
    APPROVED
    Since 2017-03-25

Branch Locations

16 Campus Blvd Suite 200, Newtown Square, PA 19073 • United States

Springfield, PA • 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
Metlife Securities Inc. Newtown PA 01/2015 03/2017
Massmutual Life Insurance Co Newtown Square PA 07/2016 Present
Mml Investors Services, Llc Newtown Square PA 03/2017 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Newtown, PA
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Newtown Square, PA
  • 03/2017 → Present
    Newtown Square, PA
Previous Registrations
  • 2016-02-09 → 2017-12-31
    Newtown Square, PA
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Newtown Square, PA
  • 2002-07-23 → 2015-01-02
    New England Securities
    Newtown Square, PA
    Newtown Square, PA
Other Businesses

(1) NAME: ALBERT CORRATO INV REL: Y ADDR: 16 CAMPUS BLVD NEWTOWN SQUARE PA 19073 NATURE: IND LIFE, P&C, GROUP HEALTH POSITION: AGENT START: 11/2013 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 1. (2) NAME: HILLCREST MEMORIAL PARK INV REL: Y ADD: 500 DELSEA DR, SEWELL, NJ 08080 NATURE: NONPROFIT/CEMETERY ASSOCIATION POSITION: BOARD MEMBER START DATE: 06/01/2010 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 DUTIES: ATTEND ANNUAL BOARD MEETINGS. (3) NAME: DIRECTOR, BETTER BUSINESS BUREAU - EASTERN PA & WASH, DC INV REL: Y ADD: 1411 K STREET, 10 TH FLOOR, WASHINGTON, DC 20005 NATURE: NOT-FOR-PROFIT CONSUMER PROTECTION ORGANIZATION POSITION: DIRECTOR / TREASURER / FINANCE COMMITTEE START DATE: 06/17/2024 NO. HR/MO: ½ HR NO. HR/MO DURING SEC TRADING: ½ HR DESCRIBE DUTIES: ATTEND QUARTERLY BOARD MEETINGS, TYPICALLY BY PHONE. THERE IS NO DIRECT RESPONSIBILITY OR CONTROL AND NO CHECKSIGNING OR INVESTEMENT AUTHORITY. THAT IS ALL HANDLED BY THE PRESIDENT/CEO

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2000-03-17
  • S63 Uniform Securities Agent State Law Examination
    2000-03-17
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant

View on SEC IAPD

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