Li Zhu

Current Employers

Mml Investors Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2018-01-03
CA	RA	APPROVED	2017-03-25

TX RA
APPROVED_RES

Since 2018-01-03
CA RA
APPROVED

Since 2017-03-25

Branch Locations

4675 Macarthur Court Suite 1050, Newport Beach, CA 92660 • 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 No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Mml Investors Services, Llc	Newport Beach	CA	03/2017	Present
Msi Financial Services	Brea	CA	07/2016	03/2017
Massachusetts Mutual Life Insurance Company	Newport Beach	CA	07/2016	Present

03/2017 → Present

Mml Investors Services, Llc

Newport Beach, CA
07/2016 → 03/2017

Msi Financial Services

Brea, CA
07/2016 → Present

Massachusetts Mutual Life Insurance Company

Newport Beach, CA

Previous Registrations

2006-08-10 → 2017-03-25

Msi Financial Services, Inc.

City Of Industry, CA

Brea, CA

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-07-12
S63	Uniform Securities Agent State Law Examination	1993-12-28

S65 Uniform Investment Adviser Law Examination

2006-07-12
S63 Uniform Securities Agent State Law Examination

1993-12-28

View on SEC IAPD

Current Employers

Mml Investors Services, Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews