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Sharon Ann Staley-Smith

Mml Investors Services, LLC

Wauwatosa, WI

Wauwatosa, WI

CRD 6441441

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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
WI RA APPROVED 2019-05-20
  • WI RA
    APPROVED
    Since 2019-05-20

Branch Locations

10401 Innovation Drive Suite 125, Wauwatosa, WI 53226 • United States

Wauwatosa, WI • 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
Thrivent Financial Greenfield WI 03/2015 08/2018
Massmutual Life Insurance Co Wauwatosa WI 04/2019 Present
Mml Investors Services, Llc Wauwatosa WI 04/2019 Present
Unemployed Franklin WI 08/2018 04/2019
  • 03/2015 → 08/2018
    Thrivent Financial
    Greenfield, WI
  • 04/2019 → Present
    Massmutual Life Insurance Co
    Wauwatosa, WI
  • 04/2019 → Present
    Mml Investors Services, Llc
    Wauwatosa, WI
  • 08/2018 → 04/2019
    Unemployed
    Franklin, WI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-07-28
  • S66 Uniform Combined State Law Examination
    2015-07-28
Other Names
  • Sharon Staley
  • Sharon Storm
  • Sharon Storm

View on SEC IAPD

Nearby Firms

LPL FINANCIAL LLC
U.S. BANCORP ADVISORS, LLC
CURI CAPITAL, LLC

Nearby Investors

FRANK ANTHONY MULARZ III
Alicia Brooke Lantz
Andrew Lee Kroll

Nearby Offices

LPL FINANCIAL LLC · WAUWATOSA, WI
U.S. BANCORP ADVISORS, LLC · Wauwatosa, WI
CURI CAPITAL, LLC · Milwauikee, WI

More in Wauwatosa, WI

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