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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

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

Branch Locations

30 Two Bridges Rd 3Rd Floor, Suite 320, Fairfield, NJ 07004 • United States

Montville, NJ • 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. Mt. Arlington NJ 08/1994 03/2017
Mml Investors Services, Llc Fairfield NJ 03/2017 Present
Massmutual Life Insurance Co Fairfield NJ 07/2016 Present
Sephora Short Hills NJ 03/2019 Present
  • 08/1994 → 03/2017
    Metlife Securities Inc.
    Mt. Arlington, NJ
  • 03/2017 → Present
    Fairfield, NJ
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Fairfield, NJ
  • 03/2019 → Present
    Sephora
    Short Hills, NJ
Previous Registrations
  • 2002-07-30 → 2017-03-25
    Msi Financial Services, Inc.
    Roseland, NJ
    Short Hills, NJ
    Roseland 07068, NJ
    Paramus, NJ
Other Businesses

(1) NAME: ANN MARIE MILLER INV REL: Y ADDR: 30 TWO BRIDGES RD, SUITE 320, FAIRFIELD NJ 07004 NATURE: INDIVIDUAL LIFE, PROPERTY/CASUALTY, HEALTH, GROUP LIFE, GROUP HEALTH, FIXED ANNUITIES, & LONG TERM CARE POSITION: AGENT START: 01/2010 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 1. (2) NAME: SEPHORA INV REL: N ADDR: 1200 MORRIS TURNPIKE, SHORT HILLS, NJ 07078 NATURE: RETAIL SALES POSITION: SKIN CARE SPECIALIST START: 03/01/2019 NO HRS/MO: 8 NO HRS/MO DUR TRADING: 0 DUTIES: SELL SKIN CARE PRODUCTS.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2017-01-10
  • S63 Uniform Securities Agent State Law Examination
    2017-01-10
Other Names
  • Annmarie Obrien

View on SEC IAPD

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