James Michael Warren

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

• 10/2010 → Present
  Massmutual Life Insurance Company
  Overland Park, KS
• 10/2010 → Present
  Mml Investor Services, Llc
  Overland Park, KS

Previous Registrations

• 2007-10-26 → 2010-10-20
  New England Securities
  Overland Park, KS
  Overland Park, KS
• 2007-01-09 → 2007-09-04
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Kansas City, MO

Other Businesses

(1) NAME: JAMES WARREN INV REL: Y ADDR: 10975 BENSON SUITE 350 OVERLAND PARK, KS 66210 NATURE: INDIVIDUAL LIFE/ HEALTH POSITION: SALES PERSON START: 1/1/08 HRS/MO: 2 HRS/TRAD: 2. (2) NAME: WARREN ENGINE TUNING INV REL: N ADD: AT RESIDENTIAL ADDRESS NATURE: ENGINE TUNING ON CLASSIC CARS AND TRUCKS START DATE: 7/1/2016 NO HRS/MO: 10 NO HRS/MO DUR TRADING: 0. (3) NAME: JAMES M. WARREN INV REL: Y ADDR: 417-419 E MEYER BLVD, KANSAS CITY, MO 64131 NATURE: RENTAL INCOME POSITION: OWNER START: 10/1/2020 NO HRS/MO: 5 NO HRS/MO DUR TRADING: 0 DUTIES: MAINTAIN AND RENT PROPERTY.

Exams

• S66 Uniform Combined State Law Examination
  2007-01-08

Other Names

• James M Warren