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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
TX RA APPROVED_RES 2022-07-11
VA RA APPROVED 2022-07-11
  • TX RA
    APPROVED_RES
    Since 2022-07-11
  • VA RA
    APPROVED
    Since 2022-07-11

Branch Locations

Virginia Beach, VA • United States

222 Central Park Ave Suite 1100, Virginia Beach, VA 23462 • 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
OrganizationCityStateFromTo
Guardian Life Insruance Company Virginia Beach VA 01/2005 06/2022
Park Avenue Securities Virginia Beach VA 04/2005 06/2022
Mml Investors Services Llc Virginia Beach VA 06/2022 Present
Massmutual Life Insurance Co Virginia Beach VA 06/2022 Present
  • 01/2005 → 06/2022
    Guardian Life Insruance Company
    Virginia Beach, VA
  • 04/2005 → 06/2022
    Park Avenue Securities
    Virginia Beach, VA
  • 06/2022 → Present
    Virginia Beach, VA
  • 06/2022 → Present
    Massmutual Life Insurance Co
    Virginia Beach, VA
Previous Registrations
Other Businesses

1)Name: Landing Enterprises LLC, Inv Rel: Y Addr: @ residential on file, Nature: Business Consulting, Position: Consultant, Start: 8/1/2023, No Hr/Mo: 1 No Hr/Mo Dur trading: 1 Duties: meet with business owners to discuss non-financial planning topics. 2)Name: Ryan Riggs, Inv Rel: Y Addr: 222 Central Park Ave, Suite 1100 Virginia Beach VA 23462 , Nature: Outside Insurance, Position: Financial Professional, Start: 1/1/2023, No Hr/Mo: 2 No Hr/Mo Dur Trading: 2 Duties: Life, Disability, Long-Term care, Fixed Annuities, and Health.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-07-06
S63 Uniform Securities Agent State Law Examination 2005-07-26
  • S65 Uniform Investment Adviser Law Examination
    2007-07-06
  • S63 Uniform Securities Agent State Law Examination
    2005-07-26
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant
Other Names
  • Ryan Edward Riggs

View on SEC IAPD

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