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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2017-03-25
  • CA RA
    APPROVED
    Since 2017-03-25

Branch Locations

555 Twin Dolphin Dr Ste 320, Redwood City, CA 94065 • United States

1676 N California Blvd Ste 430, Walnut Creek, CA 94596 • United States

6701 Koll Center Parkway Ste 140, Pleasanton, CA 94566 • United States

Moss Beach,, CA • 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. Foster City CA 01/2015 03/2017
Massmutual Life Insurance Co Redwood City CA 07/2016 Present
Mml Investors Services, Llc Redwood City CA 03/2017 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Foster City, CA
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Redwood City, CA
  • 03/2017 → Present
    Redwood City, CA
Previous Registrations
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Foster City, CA
  • 1999-03-31 → 2015-01-02
    New England Securities
    Foster City, CA
    Foster City, CA
Other Businesses

INDEPENDENT INSURANCE AGENT SELLING DENTAL AND GROUP DISABILITY INCOME, DISABILITY, LIFE/ACCIDENT/HEALTH,MEDICARE RELATED PRODUCTS, LONG-TERM CARE, 1 WEEKDAY HOURS ONLY STARTED 05/2000. (2) RENTAL PROPERTY OWNER IN PRESCOTT VALLEY ARIZONA AND IN WHIDBEY ISLAND WASHINGTON 1 EVENING/WEEKEND HOURS STARTED 09/2005. (3) NAME: JANET CHOW INV REL: Y ADD: 33986 N MERCEDES DR QUEENS CREEK AZ 85251, 111 S 223RD ST BUCKEYE AZ 85326 NATURE: RENTAL PROPERTY POSITION: OWNER START DATE: 3/28/2012 NO HRS/MO: 0 NO HRS/MO DUR TRADING: 0 DUTIES: I HIRED A PROPERTY MANAGEMENT COMPANY TO HANDLE THE DAY TO DAY. I FILED SCHEDULE E FOR ALL MY PROPERTIES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-01-25
S63 Uniform Securities Agent State Law Examination 1994-05-10
  • S65 Uniform Investment Adviser Law Examination
    1999-01-25
  • S63 Uniform Securities Agent State Law Examination
    1994-05-10
Designations

View on SEC IAPD

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