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Davy Kwok

Mml Investors Services, LLC

Pasadena, CA

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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2024-01-16
  • CA RA
    APPROVED
    Since 2024-01-16

Branch Locations

790 E Colorado Blvd Ste 710, Pasadena, CA 91101 • 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
Massachusetts Mutual Life Insurance Company Arcadia CA 07/2013 09/2022
Mml Investors Services Arcadia CA 08/2013 09/2022
W&S Life Cerritos CA 09/2022 12/2023
W&S Brokerage Services, Inc. Cerritos CA 09/2022 12/2023
Mml Investors Services, Llc Arcadia CA 01/2024 Present
Massmutual Life Insurance Co Arcadia CA 12/2023 Present
  • 07/2013 → 09/2022
    Massachusetts Mutual Life Insurance Company
    Arcadia, CA
  • 08/2013 → 09/2022
    Mml Investors Services
    Arcadia, CA
  • 09/2022 → 12/2023
    W&S Life
    Cerritos, CA
  • 09/2022 → 12/2023
    W&S Brokerage Services, Inc.
    Cerritos, CA
  • 01/2024 → Present
    Mml Investors Services, Llc
    Arcadia, CA
  • 12/2023 → Present
    Massmutual Life Insurance Co
    Arcadia, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2012-08-03
S63 Uniform Securities Agent State Law Examination 1998-09-23
  • S65 Uniform Investment Adviser Law Examination
    2012-08-03
  • S63 Uniform Securities Agent State Law Examination
    1998-09-23
Other Names
  • Kang Pui Kwok

View on SEC IAPD

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Other Offices

CMR CAPITAL MANAGEMENT, LLC · PASADENA, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · PASADENA, CA
STRATEGY ASSET MANAGERS L.L.C. · PASADENA, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · PASADENA, CA
NASDAQ DORSEY WRIGHT · Pasadena, CA
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RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Pasadena, CA
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