Michael Brian Sparks

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-07-22
NY	RA	APPROVED	2021-06-14

TX RA
APPROVED_RES

Since 2021-07-22
NY RA
APPROVED

Since 2021-06-14

Branch Locations

48 South Service Road Suite 400, Melville, NY 11747 • United States

Smithtown, NY • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Massmutual Life Insurance Company	Melville	NY	05/2011	Present
Mml Investors Services, Llc	Melville	NY	05/2011	Present
Hamlet Willow Creek Country Club	Mount Sinai	NY	05/2005	09/2016

05/2011 → Present

Massmutual Life Insurance Company

Melville, NY
05/2011 → Present

Mml Investors Services, Llc

Melville, NY
05/2005 → 09/2016

Hamlet Willow Creek Country Club

Mount Sinai, NY

Other Businesses

Name: Michael Sparks Inv rel: Y Add: 48 south Service Road Suite 400 Melville NY 11747 Nature: NonMMLIA Insurance Brokerage Position: agent Start date: 07/2011 No. HR/MO: 10 No. HR/MO during sec trading: 10 Describe duties: individual and group life, individual and group health. Sale and service of outside insurance with various carriers

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2011-07-19

S63 Uniform Securities Agent State Law Examination

2011-07-19

Other Names

Michael Sparks

View on SEC IAPD