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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2017-03-25
  • IL RA
    APPROVED
    Since 2017-03-25

Branch Locations

2441 Warrenville Road Suite 300, Lisle, IL 60532 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc. Lisle IL 05/1990 03/2017
Mml Investors Services, Llc Lisle IL 03/2017 Present
Massmutual Life Insurance Co Lisle IL 07/2016 Present
  • 05/1990 → 03/2017
    Metlife Securities Inc.
    Lisle, IL
  • 03/2017 → Present
    Lisle, IL
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Lisle, IL
Previous Registrations
  • 1999-01-19 → 2017-03-25
    Msi Financial Services, Inc.
    Downers Grove, IL
    Oak Brook, IL
    Downers Grove, IL
Other Businesses

NAME: MetLife Trails INV REL: Y ADD: 2441 Warrenville Rd, Suite 300, Lisle, IL 60532 NATURE: NonMMLIA Insurance Brokerage/Ind Life, Fixed Trails from Metlife business POSITION: Agent START DATE: 07/01/2016 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 1

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-10-16
S63 Uniform Securities Agent State Law Examination 1991-03-27
  • S65 Uniform Investment Adviser Law Examination
    1997-10-16
  • S63 Uniform Securities Agent State Law Examination
    1991-03-27

View on SEC IAPD

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