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Claudia Maxine Spence

Mml Investors Services, LLC

Miami, FL

Plantation, FL

CRD 5466952

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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 2022-02-07
FL RA APPROVED 2020-01-23
  • TX RA
    APPROVED_RES
    Since 2022-02-07
  • FL RA
    APPROVED
    Since 2020-01-23

Branch Locations

Miami, FL • United States

8151 Peters Road Suite 1700, Plantation, FL 33324 • 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 Fort Lauderdale FL 12/2013 03/2017
Mml Investors Services, Llc Plantation FL 03/2017 Present
Massmutual Life Insurance Co Plantation FL 07/2016 Present
  • 12/2013 → 03/2017
    Metlife Securities Inc
    Fort Lauderdale, FL
  • 03/2017 → Present
    Mml Investors Services, Llc
    Plantation, FL
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Plantation, FL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-12-19
  • S66 Uniform Combined State Law Examination
    2019-12-19
Other Names
  • Claudia Maxine Johnson

View on SEC IAPD

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