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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 2025-02-14
  • CA RA
    APPROVED
    Since 2025-02-14

Branch Locations

4675 Macarthur Court Suite 1050, Newport Beach, CA 92660 • 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 No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mfg Services Llc Newport Beach CA 05/2014 04/2018
Foreside Fund Services, Llc Newport Beach CA 06/2017 04/2018
Foreside Fund Services, Llc Corona Del Mar CA 05/2018 12/2024
Strategic Global Advisors, Llc Corona Del Mar CA 05/2018 12/2024
Veridien Capital Partners, Llc Corona Del Mar CA 09/2022 01/2025
Massmutual Life Insurance Company Newport Beach CA 11/2024 Present
Mml Investors Services Llc Newport Beach CA 02/2025 Present
  • 05/2014 → 04/2018
    Mfg Services Llc
    Newport Beach, CA
  • 06/2017 → 04/2018
    Foreside Fund Services, Llc
    Newport Beach, CA
  • 05/2018 → 12/2024
    Foreside Fund Services, Llc
    Corona Del Mar, CA
  • 05/2018 → 12/2024
    Strategic Global Advisors, Llc
    Corona Del Mar, CA
  • 09/2022 → 01/2025
    Veridien Capital Partners, Llc
    Corona Del Mar, CA
  • 11/2024 → Present
    Massmutual Life Insurance Company
    Newport Beach, CA
  • 02/2025 → Present
    Newport Beach, CA
Previous Registrations
  • 2014-09-08 → 2018-06-06
    Newport Beach, CA
    Sydney, Nsw
  • 2010-05-06 → 2011-02-15
    First Western Capital Management Company
    Los Angeles, CA
  • 2010-02-24 → 2010-05-19
    First Western Investment Management, Inc.
    Los Angeles, CA
Other Businesses

NAME: JOHN DEWEY INV REL: Y ADD: 4675 MACARTHUR COURT SUITE 1050 NEWPORT BEACH CA 92660 NATURE: OUTSIDE INSURANCE SALES POSITION: INSURANCE BROKER START DATE: 01/22/2025 NO. HR/MO: 1NO. HR/MO DURING SEC TRADING: 1 DUTIES: LIFE, DI, LTC, FIXED ANNUITIES AND HEALTH (2) NAME: NEIGHBORHOOD YOUTH ASSOCIATION INV REL: N ADD: 3590 GRAND VIEW BLVD LOS ANGELES CA 90066 NATURE: AFTER SCHOOL PROGRAM FOR UNDERSERVED TEENS POSITION: ADVISOR START DATE: 1/1/2020 NO. HR/MO: 4 NO. HR/MO DURING SEC TRADING: 0 DUTIES: AWARENESS/FUNDRAISING (3) NAME: VERIDIEN CAPITAL PARTNERS, LLC INV REL: Y ADD: RESIDENTIAL NATURE: OWNER OF DORMANT LLC USED FOR RESIDUAL CONSULTING PAYMENTS POSITION: CO OWNER/PARTNER START DATE: 9/1/2022 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 (4) NAME: NBCP,LLC INV REL: Y ADD: 4675 MACARTHUR COURT SUITE 1050 NEWPORT BEACH CA 92660 NATURE: FINANCIAL STRATEGY AND INSURANCE CONSULTING POSITION: OWNER START DATE: 11/12/2025 NO. HR/MO: 4 NO. HR/MO DURING SEC TRADING: 1 DUTIES: INSURANCE EVALUATION AND CONSULTING

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2024-12-10
S63 Uniform Securities Agent State Law Examination 2017-08-15
  • S65 Uniform Investment Adviser Law Examination
    2024-12-10
  • S63 Uniform Securities Agent State Law Examination
    2017-08-15

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