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Mml Investors Services, LLC CRD 10409
$116B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2020-09-02 |
| PR | RA | APPROVED | 2018-11-08 |
Branch Locations
Edificio Las Nubes 151 Federico Costas Lote A-02, San Juan, PR 00919 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Kovack Advisors, Inc. | Fort Lauderdale | FL | 04/2015 | 11/2017 |
| Popular Securities, Llc | San Juan | PR | 12/2017 | 08/2018 |
| Massmutual Life Insurance Co | San Juan | PR | 09/2018 | Present |
| Mml Investors Services, Llc | San Juan | PR | 09/2018 | Present |
(1) Name: Maricarmen Maisonet Gonzalez Inv Rel: Y Addr: 151 Federico Costa Edif. Las Nubes A02 San Juan PR 00918 Nature: Outside Insurance - Life, disability, long-term care, fixed annuities Position: Agent: Start Date: 07/01/2023 No. Hr/Mo: 2No. Hr/Mo During Sec Trading: 2 Duties: sales of insurance policies. (2) NAME: It's a Matter of Money INV REL: Y ADD: Residential Address NATURE: Book - financial Planner POSITION: Writer START DATE: 11/01/2024 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: Write, edit, promote and marketing (3) Name: FinSight LLC Inv Rel: Y Add: 151 Federico Costas A02, San Juan, PR 00918 Nature: Owner of LLC for Pass Through Compensation Position: Owner of LLC Start Date: 11/10/2025 No Hrs/Mo: 20 No/Hrs Mo dur trading: 20 Describe Duties: Brokerage, advisory and financial planning services. It is the same service I provide now as an individual, but compensation now will flow through the business account.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2020-07-02 |
| S66 | Uniform Combined State Law Examination | 2012-04-16 |
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