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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2025-05-01 |
| CA | RA | APPROVED | 2025-04-23 |
Branch Locations
6701 Koll Center Parkway Ste 140, Pleasanton, CA 94566 • United States
San Ramon, CA • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Td Ameritrade, Inc | Walnut Creek | CA | 09/2011 | 10/2019 |
| Mml Investors Services, Llc | Pleasanton | CA | 03/2020 | 12/2024 |
| Unemployed | San Ramon | CA | 10/2019 | 02/2020 |
| Massmutual Life Insurance Co | Pleasanton | CA | 02/2020 | Present |
| Mml Investors Services, Llc | Pleasanton | CA | 04/2025 | Present |
| Td Ameritrade Investment Management, Llc | Walnut Creek | CA | 09/2011 | 10/2019 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-11-21 |
| S63 | Uniform Securities Agent State Law Examination | 1999-11-03 |
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