Michael Werfel

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2024-09-26
NJ	RA	APPROVED	2017-05-22

TX RA
APPROVED_RES

Since 2024-09-26
NJ RA
APPROVED

Since 2017-05-22

Branch Locations

61 So Paramus Rd 5Th Floor Suite 575, Paramus, NJ 07652 • 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 No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Massachusetts Mutual Life Insurance Company	Paramus	NJ	03/2017	Present
Metlife Securities Inc	Paramus	NJ	12/2005	03/2017
Mml Investors Services, Llc	Paramus	NJ	03/2017	Present

03/2017 → Present

Massachusetts Mutual Life Insurance Company

Paramus, NJ
12/2005 → 03/2017

Metlife Securities Inc

Paramus, NJ
03/2017 → Present

Mml Investors Services, Llc

Paramus, NJ

Previous Registrations

2017-03-25 → 2017-04-24

Mml Investors Services, Llc

Paramus, NJ
2007-03-06 → 2017-03-25

Msi Financial Services, Inc.

Paramus, NJ

Other Businesses

Name: Silver Rock Advisors, LLC Inv rel: Y Add: 880 Crest Place Township of Washington, NJ 07676 Nature: Outside Insurance Position: Owner / Agent Start date: 07/16 No. HR/MO: 4 No. HR/MO during sec trading: 0 Describe duties: Individual Life, Property/Casualty, Health, Group Life, Group Health (2) Name: Michael Werfel Inv rel: Y Add: At Residential Address Nature: Outside Insurance Position: Independent Insurance Agent Start date: 07/01/2023 No. HR/MO: 4 No. HR/MO during sec trading: 0 Describe duties: Life, Disability, Long-Term Care, Fixed Annuities & Health (3) Name: Kiwanis Club of Pascack Valley Inv Rel: N Add: 55 Jefferson Ave PO Box 52 Westwood NJ 07675 Nature: Charitable Organization Position: On the board of Directors Start Date: 10/10/2023 No Hrs/Mo: 3 No Hrs/Dur Trading: 0 Duties: 2 meetings per month, Our goal is to help the local community with food pantry drives, raising money for childrens programs in the local schools and my obligations will donating time to try to recruit members and volunteer at charity events to help get donations for our current initiatives

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2008-02-01
S65	Uniform Investment Adviser Law Examination	2007-02-19

S63 Uniform Securities Agent State Law Examination

2008-02-01
S65 Uniform Investment Adviser Law Examination

2007-02-19

View on SEC IAPD