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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
CA RA APPROVED 2024-05-01
  • CA RA
    APPROVED
    Since 2024-05-01

Branch Locations

Lawrence, MA • United States

280 Congress St Suite 1300, Boston, MA 02210 • 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
Securities America, Inc. Gloucester MA 11/2018 09/2019
Td Bank, N.A. Peabody MA 11/2015 10/2018
Morgan Stanley Boston MA 11/2019 11/2020
Kestra Investment Services, Llc Boston MA 12/2020 01/2024
Kestra Advisors Services, Llc Boston MA 12/2020 01/2024
The Patriot Financial Group, Llc Gloucester MA 05/2019 09/2019
Mml Investors Services, Llc Boston MA 04/2024 Present
Massmutual Life Insurance Co Boston MA 04/2024 Present
Advise Realty Boston MA 07/2022 Present
Commercial Grp, Llc Watertown MA 01/2024 09/2025
Joe Dimino Tile Gloucester MA 01/2024 Present
  • 11/2018 → 09/2019
    Securities America, Inc.
    Gloucester, MA
  • 11/2015 → 10/2018
    Td Bank, N.A.
    Peabody, MA
  • 11/2019 → 11/2020
    Boston, MA
  • 12/2020 → 01/2024
    Kestra Investment Services, Llc
    Boston, MA
  • 12/2020 → 01/2024
    Kestra Advisors Services, Llc
    Boston, MA
  • 05/2019 → 09/2019
    Gloucester, MA
  • 04/2024 → Present
    Boston, MA
  • 04/2024 → Present
    Massmutual Life Insurance Co
    Boston, MA
  • 07/2022 → Present
    Advise Realty
    Boston, MA
  • 01/2024 → 09/2025
    Commercial Grp, Llc
    Watertown, MA
  • 01/2024 → Present
    Joe Dimino Tile
    Gloucester, MA
Previous Registrations
Other Businesses

(1) NAME: Santo Dimino, INV REL: Y, ADD: At Residential Address, NATURE/DUTIES: Multi Simple Rental Properties, POSITION: Landlord, START DATE: 04/01/2021, NO. HR/MO: 5, NO. HR/MO DURING SEC TRADING: 0 (2) NAME: Advise Realty, INV REL: N, ADD: 20 Park Plaza, Boston, MA 02116, NATURE/DUTIES: Real Estate, POSITION: Real Estate Agent, START DATE: 07/01/2022, NO. HR/MO: 5, NO. HR/MO DURING SEC TRADING: 0 (3 )NAME: Joe Dimino Tile, INV REL: N, ADD: 3 Lyndale Ave, Gloucester, MA 01930, NATURE/DUTIES: Home Improvement Contractor, POSITION: Marketing & Business Development, START DATE: 01/01/2024, NO. HR/MO: 5, NO. HR/MO DURING SEC TRADING: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-04-30
  • S66 Uniform Combined State Law Examination
    2019-04-30

View on SEC IAPD

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