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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-03-25
  • CA RA
    APPROVED
    Since 2017-03-25

Branch Locations

4115 Blackhawk Plaza Circle Suite 100, Danville, CA 94506 • United States

Danville, CA • 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
Metlife Securities Inc Pleasanton CA 12/2015 03/2017
Massachusetts Mutual Life Insurance Company Danville CA 07/2016 Present
Mml Investors Services, Llc Danville CA 03/2017 Present
  • 12/2015 → 03/2017
    Metlife Securities Inc
    Pleasanton, CA
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Danville, CA
  • 03/2017 → Present
    Danville, CA
Previous Registrations
  • 2016-05-05 → 2017-03-25
    Msi Financial Services, Inc.
    San Jose, CA
    Pleasanton, CA
    San Ramon, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-04-13
  • S66 Uniform Combined State Law Examination
    2016-04-13

View on SEC IAPD

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