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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
TX RA APPROVED_RES 2018-11-02
  • TX RA
    APPROVED_RES
    Since 2018-11-02

Branch Locations

4900 North Scottsdale Road Suite 4000, Scottsdale, AZ 85251 • United States

Peoria, AZ • 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
Metlife Securities Inc Phoenix AZ 11/2007 03/2017
Massachusetts Mutual Life Insurance Company Scottsdale AZ 07/2016 Present
Mml Investors Services, Llc Scottsdale AZ 03/2017 Present
  • 11/2007 → 03/2017
    Metlife Securities Inc
    Phoenix, AZ
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Scottsdale, AZ
  • 03/2017 → Present
    Scottsdale, AZ
Other Businesses

SOLE OWNER OF RENTAL REAL ESTATE - GLENDALE, AZ - 1 NON SEC HR PER WEEK SINCE 11/2013 (2)INDEPENDENT INSURANCE AGENT - FROM BUSINESS ADDRESS-- LIFE/ACCIDENT/HEALTH -1 HOUR SECURITIES - 1 HOUR NON SECURITIES - SINCE 4/2013 (3) INDEPENDENT INSURANCE AGENT FROM BUSINESS ADDRESS SELLING P&C 1 SEC HR PER WEEK SINCE 07/2016

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2007-11-21
  • S63 Uniform Securities Agent State Law Examination
    2007-11-21
Other Names
  • Jeremy Cook

View on SEC IAPD

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