Laura Elizabeth Riley

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
NJ	RA	APPROVED	2002-07-31

NJ RA
APPROVED

Since 2002-07-31

Branch Locations

Sparta, NJ • United States

184 Liberty Corner Rd Suite 315, Warren, NJ 07059 • 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
Massmutual Life Insurance Co	Warren	NJ	02/1998	Present
Mml Investors Services, Llc	Warren	NJ	02/1998	Present

02/1998 → Present

Massmutual Life Insurance Co

Warren, NJ
02/1998 → Present

Mml Investors Services, Llc

Warren, NJ

Other Businesses

Name:Laura E Riley, Inv rel:Y Addr: At residnetial address, Nature:life, property/casualty, health, group life, group health, Position:sales, Start:1/1/2000, No hr/mo:10, No hr/mo dur trading:5.

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1993-08-05

S63 Uniform Securities Agent State Law Examination

1993-08-05

Designations

Chartered Financial Consultant

View on SEC IAPD