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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2021-06-03
IA RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2021-06-03
  • IA RA
    APPROVED
    Since 2017-03-25

Branch Locations

505 5Th St Ste 417, Sioux City, IA 51101 • United States

Disclosures

1 disclosure category 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 No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Resources Plymouth MN 01/2006 03/2017
Mml Investors Services, Llc Sioux City IA 03/2017 Present
Mass Mutual Life Insurance Company Sioux City IA 07/2016 Present
  • 01/2006 → 03/2017
    Metlife Resources
    Plymouth, MN
  • 03/2017 → Present
    Sioux City, IA
  • 07/2016 → Present
    Mass Mutual Life Insurance Company
    Sioux City, IA
Previous Registrations
  • 2005-12-06 → 2017-03-25
    Msi Financial Services, Inc.
    Sioux City, IA
    Springfield, MA
    Springfield, MA
    Minnetonka, MN
  • 2001-12-31 → 2006-01-11
    Metlife Investment Fund Services Llc
    Alpharetta, GA
Other Businesses

Independent Insurance Agent-from residential address-1hrs sec, 0hrs nonsec-Dental and Group Disability, Income Disability, Fixed Annuities, Life/Accident/Health, Long-Term Care, and Medicare Related Products-since 06/2013 (2)Actor-local advertising/commercials-from residential address-0hrs sec, 1hrs nonsec-since 10/2016

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2004-03-26
S63 Uniform Securities Agent State Law Examination 1991-08-23
  • S65 Uniform Investment Adviser Law Examination
    2004-03-26
  • S63 Uniform Securities Agent State Law Examination
    1991-08-23

View on SEC IAPD

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