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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 2025-06-25
CO RA APPROVED 2025-06-10
  • TX RA
    APPROVED_RES
    Since 2025-06-25
  • CO RA
    APPROVED
    Since 2025-06-10

Branch Locations

Westminster, CO • United States

8 Garden Center Suite 101, Broomfield, CO 80023 • United States

Disclosures

2 disclosure categories 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 Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
New York Life Insurance Arvada CO 07/2011 06/2024
Nylife Securities Llc Arvada CO 08/2011 06/2024
Blanchard Financial Services Westminster CO 01/2015 02/2018
The Colorado Rapids Commerce City CO 08/2011 06/2019
Summit Financial Solutions Westminster CO 03/2018 06/2024
Mml Investors Services, Llc Broomfield CO 06/2024 Present
Massmutual Life Insurance Company Broomfield CO 06/2024 Present
  • 07/2011 → 06/2024
    New York Life Insurance
    Arvada, CO
  • 08/2011 → 06/2024
    Nylife Securities Llc
    Arvada, CO
  • 01/2015 → 02/2018
    Blanchard Financial Services
    Westminster, CO
  • 08/2011 → 06/2019
    The Colorado Rapids
    Commerce City, CO
  • 03/2018 → 06/2024
    Summit Financial Solutions
    Westminster, CO
  • 06/2024 → Present
    Broomfield, CO
  • 06/2024 → Present
    Massmutual Life Insurance Company
    Broomfield, CO
Other Businesses

(1) Name: 1506 Cascade Dr. LLC Inv Rel: Y Add: Residential Address Nature: Rental Income Position: Owner Start Date: 07/01/2020 No Hrs/Mo: 1 No/Hrs Mo dur trading: 1 Describe Duties: Collection of rent. (2) Name: 8 Garden Center #101 LLC Inv Rel: Y Nature: Rental Income Position: Owner Start Date: 04/01/2024 No Hrs/Mo: 1 No/Hrs Mo dur trading: 1 Describe Duties: Collection of rent. (3) Name: Bal Swan Children's Center Inv Rel: N Add: 1145 E. 13th Ave, Broomfield, CO 80020 Nature: Social emotional foundation & nurturing inclusive learning Position: Board Member Start Date: 08/01/2022 No/Hrs Mo: 5 No/Hrs Mo dur trading: 5 Describe Duties: Attend meetings/provide advice. (4) Name: 1319 W. Baseline Rd. LLC Inv Rel: Y Add: Residential Address Nature: Rental Income Position: Owner Start Date: 03/01/2023 No/Hrs Mo: 1 No/Hrs Mo dur trading: 1 Describe Duties: Collection of rent. (5) Name: Aaron Rask Inv Rel: Y Add: Residential Address Nature: Outside Insurance Sales Position: Insurance Broker Start Date: 06/25/2024 No Hrs/Mo: 5 No/Hrs Mo dur trading: 5 Describe Duties: Life(term/universal/whole), Disability, Long-term care, Fixed annuities and Health.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-04-29
S63 Uniform Securities Agent State Law Examination 2016-09-08
  • S65 Uniform Investment Adviser Law Examination
    2025-04-29
  • S63 Uniform Securities Agent State Law Examination
    2016-09-08

View on SEC IAPD

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