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Shaun Bernstein

Mml Investors Services, LLC

New York, NY

CRD 7192296

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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 2026-04-27
NY RA APPROVED 2023-01-03
  • TX RA
    APPROVED_RES
    Since 2026-04-27
  • NY RA
    APPROVED
    Since 2023-01-03

Branch Locations

286 Madison Ave Suite 901, New York, NY 10017 • 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
Nomura Securities International, Inc. New York NY 10/2019 01/2022
Bank Of America Charlotte NC 06/2014 09/2017
Deutsche Bank New York NY 09/2017 09/2019
Mml Investors Services, Llc New York NY 06/2022 Present
Massmutual Life Insurance Company New York NY 06/2022 Present
Columbia University New York NY 01/2022 05/2022
  • 10/2019 → 01/2022
    Nomura Securities International, Inc.
    New York, NY
  • 06/2014 → 09/2017
    Bank Of America
    Charlotte, NC
  • 09/2017 → 09/2019
    Deutsche Bank
    New York, NY
  • 06/2022 → Present
    Mml Investors Services, Llc
    New York, NY
  • 06/2022 → Present
    Massmutual Life Insurance Company
    New York, NY
  • 01/2022 → 05/2022
    Columbia University
    New York, NY
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-11-09
S63 Uniform Securities Agent State Law Examination 2019-11-19
  • S65 Uniform Investment Adviser Law Examination
    2022-11-09
  • S63 Uniform Securities Agent State Law Examination
    2019-11-19

View on SEC IAPD

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Nearby Investors

STEVEN MARC MUEHLGAY
STEPHANIE LYNN FAGENSON
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Nearby Offices

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P2 CAPITAL PARTNERS, LLC · NEW YORK, NY
KINYAN CAPITAL MANAGEMENT LLC · NEW YORK, NY

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