Regina Theresa Schwartz

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

Authority	Category	Status	Date
FL	RA	APPROVED	2024-05-30
TX	RA	APPROVED_RES	2022-04-28
IL	RA	APPROVED	2017-03-25

FL RA
APPROVED

Since 2024-05-30
TX RA
APPROVED_RES

Since 2022-04-28
IL RA
APPROVED

Since 2017-03-25

Branch Locations

9 South 265 State Route 59, Naperville, IL 60564 • 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

Organization	City	State	From	To
Metlife Securities, Inc.	New York	NY	12/1999	03/2017
Mml Investors Services, Llc	Naperville	IL	03/2017	Present
Massmutual Life Insurance Co	Naperville	IL	07/2016	Present

12/1999 → 03/2017

Metlife Securities, Inc.

New York, NY
03/2017 → Present

Mml Investors Services, Llc

Naperville, IL
07/2016 → Present

Massmutual Life Insurance Co

Naperville, IL

Previous Registrations

2000-12-20 → 2017-03-25

Msi Financial Services, Inc.

Naperville, IL

Other Businesses

NonMMLIA Insurance Brokerage - Sales- Schwartz Financial Concepts - Individual Life - Property/Casualty - Health - Group Life - Group Health - from Naperville, IL - 8 sec hours 3 non sec hours - since 1990

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-10-03
S63	Uniform Securities Agent State Law Examination	1992-07-23

S65 Uniform Investment Adviser Law Examination

2000-10-03
S63 Uniform Securities Agent State Law Examination

1992-07-23

Other Names

Reggie Schwartz

View on SEC IAPD