Michael Saphel Romaine

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

Authority	Category	Status	Date
KY	RA	APPROVED	2021-03-26
TX	RA	APPROVED_RES	2021-03-24
TN	RA	APPROVED	2021-03-23

KY RA
APPROVED

Since 2021-03-26
TX RA
APPROVED_RES

Since 2021-03-24
TN RA
APPROVED

Since 2021-03-23

Branch Locations

Louisville, KY • United States

10 Cadillac Dr Suite 300, Brentwood, TN 37027 • United States

Louisville, KY • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
M.J. Entertainment Dba B 2 Are Dreams	Louisville	KY	04/1998	Present
Northwestern Mutual Insurance Company	Milwaukee	WI	11/2004	03/2021
Northwestern Investment Services, Llc	Louisville	KY	03/2005	03/2021
Massmutual Life Insurance Company	Louisville	KY	02/2021	Present
Mml Investors Services, Llc	Louisville	KY	03/2021	Present

04/1998 → Present

M.J. Entertainment Dba B 2 Are Dreams

Louisville, KY
11/2004 → 03/2021

Northwestern Mutual Insurance Company

Milwaukee, WI
03/2005 → 03/2021

Northwestern Investment Services, Llc

Louisville, KY
02/2021 → Present

Massmutual Life Insurance Company

Louisville, KY
03/2021 → Present

Mml Investors Services, Llc

Louisville, KY

Previous Registrations

2014-03-17 → 2016-09-14

Northwestern Mutual Investment Services, Llc

Louisville, KY

Louisville, KY

Other Businesses

NAME: MICHAEL ROMAINE INV REL: Y ADD: RESIDENTIAL NATURE: OUTSIDE INSURANCE SALES-LIFE,DI, LTC POSITION:INDIVIDUAL AGENT START DATE: 3/9/2021 NO HRS/MO: 5 NO HRS/MO DUR TRADING: 1 DUTIES: SELLING INSURANCE THROUGH OUTSIDE CARRIERS (2) NAME: MICHAEL ROMAINE INV REL: Y ADD: RESIDENTIALNATURE: COLLECTING REAL ESTATE RENTAL INCOME POSITION: PROPERTY OWNER START DATE: 3/1/2021 NO HRS/MO: 2 NO HRS/MO DUR TRADING: 0 DUTIES: MAINTAINING UP KEEP OF THE PROPERTY AND COLLECTING RENT (3) NAME: 1-3 PLANNING LLC INV REL: Y ADD: RESIDENTIAL NATURE: THIS IS A DBA FOR MY BUSINESS PRACTICE POSITION: PRESIDENT & OWNER START DATE: 4/28/2020 NO HRS/MO:160 NO HRS/MO DUR TRADING:8 DUITES: TO CAPTURE REVENUE & PAY DBA EXPENSES (4) NAME: M JAY ENTERTAINMENT INV REL: N ADD: RESIDENTIAL NATURE: PROMOTION AND MARKETING OF ENTERTAINMENT EVENTS POSITION: PRESIDENT AND OWNER START DATE: 4/10/2008 NO HRS/MO: 5 NO HRS/MO DUR TRADING: 0 DUTIES: I HELP IN VENUES AND PROMOTING AND MARKETING THE EVENTS ON SOCIAL MEDIA AND RADIO

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2005-06-08

S63 Uniform Securities Agent State Law Examination

2005-06-08

Designations

Certified Financial Planner
Chartered Financial Consultant

Other Names

Myke Romaine

View on SEC IAPD