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Mml Investors Services, LLC CRD 10409
$116B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| WA | RA | APPROVED | 2021-12-22 |
Branch Locations
950 Broadway Street Suite 309, Tacoma, WA 98402 • United States
920 Fifth Avenue Suite 1600, Seattle, WA 98104 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mml Investor Services, Llc | Seattle | WA | 08/2021 | Present |
| Massmutual Life Insurance Co | Seattle | WA | 03/2021 | Present |
| Placefull | Kirkland | WA | 09/2019 | 03/2021 |
| Posabit | Kirkland | WA | 06/2018 | 08/2019 |
| Posabit | Kirkland | WA | 06/2017 | 08/2017 |
| Gonzaga University | Spokane | WA | 09/2014 | 05/2018 |
NAME: MODERA LLC INV REL: N ADD: AT RESIDENTIAL ADDRESS NATURE: MAKING MUSIC FOR STREAMING POSITION: CO-OWNER & CO-FOUNDER START DATE: 01/01/2024 NO. HR/MO: 3 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: MAKE MUSIC THAT IS RELEASED ON STREAMING PLATFORMS. PLAY OCCASIONAL SHOWS. 2-3 A YEAR.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2021-12-06 |
| S63 | Uniform Securities Agent State Law Examination | 2021-10-08 |
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