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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2017-04-18
NM RA APPROVED 2015-07-17
  • TX RA
    APPROVED
    Since 2017-04-18
  • NM RA
    APPROVED
    Since 2015-07-17

Branch Locations

8100 Lang Ave Ne Suite 102, Albuquerque, NM 87109 • 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
Mml Investors Services Llc Albuquerque NM 02/2013 Present
Massmutual Albuquerque NM 12/2011 Present
Other Businesses

(1) NAME: GUNNERS LLC, DBA HIGHBURY INSURANCE PARTNERS INV REL: Y ADD: 3301 MOUNTAIN RD NW, ALBUQUERQUE, NM 87104 NATURE: OUTSIDE INSURANCE SALES: PROPERTY, COMMERCIAL INSURANCE POSITION: OWNER START DATE: 07/01/2023 No. HR/MO: 1. No. HR/MO DURING SEC TRADING: 0. DESCRIBE DUTIES: REFERRING PROSPECTS TO HIGHBURY INSURANCE PARTNERS FOR P AND C AS WELL AS COMMERCIAL INSURANCE. THE LLC WILL EMPLOYEE A LICENSED AGENT TO SELL THESE PRODUCTS. I AM JUST AN OWNER OF THIS LLC AND WILL RECEIVE NO DIRECT COMPENSATION. (2) NAME: 3301 MOUNTAIN LLC INV REL: Y ADD: 3301 MOUNTAIN RD NW, ALBUQUERQUE, NM 87014 NATURE: LLC FOR OWNERSHIP OF COMMERCIAL BUILDING POSITION: OWNER START DATE: 07/01/2023 No. HR/MO: 1. No. HR/MO DURING SEC TRADING: 0. DESCRIBE DUTIES: BUILDING MAINTENANCE. (3) NAME: LMN ASSOCIATES INC. INV REL: Y ADD: 5353 WYOMING BLVD NE SUITE 3G, ALBUQUERQUE, NM 87109 NATURE: GROUP BENEFITS POSITION: OWNER START DATE: 05/01/2026 No. HR/MO: 5. No. HR/MO DURING SEC TRADING: 0. DESCRIBE DUTIES: MANAGE THE BUSINESS, FINANCES AND PERSONNEL.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-06-12
S63 Uniform Securities Agent State Law Examination 2013-04-10
  • S65 Uniform Investment Adviser Law Examination
    2015-06-12
  • S63 Uniform Securities Agent State Law Examination
    2013-04-10

View on SEC IAPD

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