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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 |
|---|---|---|---|
| FL | RA | APPROVED | 2021-08-10 |
Branch Locations
1295 State Street, Springfield, MA 01111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transamerica Financial Advisors, Inc | St Petersburg | FL | 03/2018 | 02/2019 |
| World Financial Group, Inc. | St Petersburg | FL | 02/2018 | 02/2019 |
| Unemployed | Sarasota | FL | 11/2017 | 02/2018 |
| Global Financial Private Capital, Llc | Sarasota | FL | 10/2015 | 11/2017 |
| Gf Investment Services Llc | Sarasota | FL | 10/2015 | 11/2017 |
| Raymond James & Associates | Saint Petersburg | FL | 02/2019 | 03/2019 |
| Raymond James Financial Services,Inc | Saint Petersburg | FL | 02/2019 | 07/2019 |
| Wells Fargo Clearing Services, Llc | Lakewood Ranch | FL | 04/2020 | 07/2021 |
| Unemployed | Sarasota | FL | 08/2019 | 04/2020 |
| Massmutual | Springfield | MA | 08/2021 | Present |
| Mml Investors Services, Llc | Sarasota | FL | 08/2021 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2014-01-27 |
| S63 | Uniform Securities Agent State Law Examination | 2007-02-22 |
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