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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
NY RA APPROVED 2021-06-14
  • NY RA
    APPROVED
    Since 2021-06-14

Branch Locations

East Hampton, NY • United States

New York, 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 Yes
  • 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 New York NY 09/1998 Present
Massmutual Life Insurance Co New York NY 10/1989 Present
Stern Slavutin-2, Inc New York NY 12/1996 Present
  • 09/1998 → Present
    New York, NY
  • 10/1989 → Present
    Massmutual Life Insurance Co
    New York, NY
  • 12/1996 → Present
    Stern Slavutin-2, Inc
    New York, NY
Other Businesses

(1) NAME: LEE SLAVUTIN INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: LIFE, HEALTH, POSITION: SALES, AGENT START DATE: 1989 NO. HR/MO: 30 NO. HR/MO DURING SEC TRADING: 20 (2) NAME: LEE SLAVUTIN INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: FEE BASED INSURANCE ADVISOR POSITION: SALES, AGENT START DATE: 1990 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1 DESCRIBE DUTIES: LIFE INSURANCE CONSULTING AND REVIEWING EXISTING COVERAGE FOR A FEE (3) NAME: LEE SLAVUTIN INV REL: N ADD: RESIDENTIAL ADDRESS NATURE: AUTHOR/LECTURER POSITION: SALES, AGENT START DATE: 1990 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 2 DESCRIBE DUTIES: I WRITE AN INSURANCE TEXTBOOK FOR THOMSON REUTERS. I ALSO OCCASSIONALLY LECTURE INSURANCE AGENTS ON GENERAL INSURANCE TOPICS TO LAWYERS, ACCOUNTANTS AND INSURANCE AGENTS

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-01-25
  • S63 Uniform Securities Agent State Law Examination
    1999-01-25
Other Names
  • Leon Slavutin
  • Lee Jacob Slavutin
  • Lee Jacob Slavutin

View on SEC IAPD

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