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Mml Investors Services, LLC CRD 10409
$116B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CT | RA | APPROVED | 2024-07-19 |
| NY | RA | APPROVED | 2021-06-14 |
Branch Locations
622 3Rd Avenue Suite 900, New York, NY 10017 • United States
Norwalk, CT • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mml Investors Services, Inc. | Springfield | MA | 01/1997 | Present |
NAME: PHILIP KAPLAN INV REL: Y ADD: 622 3RD AVENUE 9TH FLOOR NEW YORK NY 10017 NATURE: IND LIFE, HEALTH, GRP LIFE, GRP HEALTH, DISABILITY INCOME, LONG TERM CARE, FIXED ANNUITIES POSITION: SALES START DATE: 1994 NO. HR/MO: 15 NO. HR/MO DURING SEC TRADING: 12
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1992-12-28 |
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