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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
PA RA APPROVED 2022-08-26
  • PA RA
    APPROVED
    Since 2022-08-26

Branch Locations

1140 Highway 315 Blvd Suite 203, Wilkes-Barre, PA 18702 • United States

Mountain Top, PA • 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
Guardian Life Insurance Co Lancaster PA 11/2004 08/2022
Park Avenue Securities Llc Lancaster PA 03/2005 08/2022
Mml Investors Services, Llc Wilkes-Barre PA 08/2022 Present
Massmutual Life Insurance Co Wilkes-Barre PA 04/2022 Present
Previous Registrations
Other Businesses

(1)Name: Dennis C. Jumper Inv rel: Y Add: At Residential Address Nature: Outside Insurance Sales; Life, Disability, and Fixed Annuities Position: Agent Start date: 04/15/2003 No. HR/MO: 1 No. HR/MO dur trading: 1 (2)Name: Dennis Jumper-PIAA Soccer Official, Inv Rel: N Addr: @ Residential Address Nature: Soccer Referee for the PIAA, Position: Official, Start: 8/1/2026, No Hr/Mo: 20 No Hr/Mo Dur trading: 0 Duties: Attend and adjudicate junior high and high school soccer matches by enforcing the rules of the game, ensure player safety, maintain match control, and uphold standards of sportsmanship.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-07-12
S63 Uniform Securities Agent State Law Examination 2005-07-12
  • S65 Uniform Investment Adviser Law Examination
    2010-07-12
  • S63 Uniform Securities Agent State Law Examination
    2005-07-12

View on SEC IAPD

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