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Mml Investors Services, LLC CRD 10409
$116B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2025-01-15 |
| NC | RA | APPROVED | 2024-11-19 |
| CA | RA | APPROVED | 2023-01-05 |
| TX | RA | APPROVED | 2023-01-05 |
Branch Locations
14515 Catalina Street, San Leandro, CA 94577 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Northwestern Mutual Life Insurance Company | San Francisco | CA | 06/2016 | 12/2022 |
| Northwestern Mutual Investment Services Llc | San Francisco | CA | 10/2016 | 12/2020 |
| Northwestern Mutual Wealth Management Company | San Francisco | CA | 08/2017 | 12/2022 |
| Northwestern Mutual Investment Services, Llc | Melville | NY | 01/2021 | 12/2022 |
| Massmutual Life Insurance Company | San Leandro | CA | 11/2022 | Present |
| Mml Investors Services, Llc | San Leandro | CA | 01/2023 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2022-12-21 |
| S63 | Uniform Securities Agent State Law Examination | 2017-01-19 |
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