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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-06-07
  • FL RA
    APPROVED
    Since 2024-06-07

Branch Locations

5100 Poplar Ave Suite 2300, Memphis, TN 38137 • United States

Tampa, FL • 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 Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Shoemaker Financial Germantown TN 01/2014 03/2024
Securian Financial Services Inc Germantown TN 01/2014 08/2023
Minnesota Life Insurance Co St Paul MN 01/2014 08/2023
Cetera Advisor Networks Llc Germantown TN 08/2023 03/2024
Cetera Investment Advisers Llc Germantown TN 08/2023 03/2024
Massmutual Life Insurance Co. Tampa FL 05/2024 Present
Mml Investors Services, Llc Tampa FL 05/2024 Present
  • 01/2014 → 03/2024
    Shoemaker Financial
    Germantown, TN
  • 01/2014 → 08/2023
    Securian Financial Services Inc
    Germantown, TN
  • 01/2014 → 08/2023
    Minnesota Life Insurance Co
    St Paul, MN
  • 08/2023 → 03/2024
    Cetera Advisor Networks Llc
    Germantown, TN
  • 08/2023 → 03/2024
    Germantown, TN
  • 05/2024 → Present
    Massmutual Life Insurance Co.
    Tampa, FL
  • 05/2024 → Present
    Tampa, FL
Previous Registrations
  • 2023-08-10 → 2024-03-29
    Germantown, TN
  • 2014-01-14 → 2023-08-10
    Securian Financial Services, Inc.
    Germantown, TN
    St. Paul, MN
  • 2013-02-13 → 2013-12-31
    Memphis, TN
  • 2011-02-10 → 2013-02-13
    Morgan Keegan & Company, Llc
    Memphis, TN
  • 2008-10-09 → 2011-02-09
    Cetera Wealth Services, Llc
    Memphis, TN
  • 2008-04-09 → 2010-12-07
    Memphis, TN
Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2008-01-25
  • S63 Uniform Securities Agent State Law Examination
    2008-01-25
Designations

View on SEC IAPD

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