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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 2017-05-25
FL RA APPROVED 2017-03-25
  • TX RA
    APPROVED
    Since 2017-05-25
  • FL RA
    APPROVED
    Since 2017-03-25

Branch Locations

8151 Peters Road Suite 1700, Plantation, FL 33324 • United States

Coral Springs, FL • 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
Metlife Securities Inc. Plantation FL 08/2002 03/2017
Mml Investors Services, Llc Plantation FL 03/2017 Present
Massmutual Life Insurance Co Plantation FL 07/2016 Present
  • 08/2002 → 03/2017
    Metlife Securities Inc.
    Plantation, FL
  • 03/2017 → Present
    Plantation, FL
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Plantation, FL
Previous Registrations
  • 2002-09-04 → 2017-03-25
    Msi Financial Services, Inc.
    Plantation, FL
    Plantation, FL
Other Businesses

(1)NAME: DIAMOND FINANCIAL GROUP INV REL: Y ADDR: AT RESIDENTIAL ADDRESS NATURE: DIAMOND FINANCIAL GROUP POSITION: OWNERSHIP START: 6/2002 NO/HRS MO: 1 NO/HRS MO DUR SEC TRADING: 0 DESCRIBE DUTIES: LLC USED FOR BUSINESS EXPENSES. (2)NAME: ARI TENENBAUM INV REL: Y ADDR: 8151 PETERS ROAD SUITE 1700 PLANTATION FL 33324 NATURE: OUTSIDE INSURANCE BUSINESS POSITION: AGENT START: 6/2002 NO/HRS MO: 1 NO/HRS MO DUR SEC TRADING: 0 DESCRIBE DUTIES: LIFE, FIXED ANNUITIES, HEALTH, DISABILITY, & LTC. (3)NAME: EDGE HOME FINANCE INV REL: Y ADDR: AT RESIDENTIAL ADDRESS NATURE: MORTGAGE LOAN ORIGINATOR POSITION: MORTGAGE LOAN ORIGINATOR START: 09/01/2021 NO HRS/MO: 4 NO HRS/MO DUR SEC TRADING: 0 DESCRIBE DUTIES: MORTGAGE LOAN ORIGINATOR THROUGH EDGE HOME FINANCE.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-01-21
S63 Uniform Securities Agent State Law Examination 1997-04-23
  • S65 Uniform Investment Adviser Law Examination
    1999-01-21
  • S63 Uniform Securities Agent State Law Examination
    1997-04-23
Designations
  • Certified Financial Planner
  • Chartered Financial Consultant

View on SEC IAPD

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