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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
FL RA APPROVED 2017-10-27
  • FL RA
    APPROVED
    Since 2017-10-27

Branch Locations

1000 Corporate Dr, Suite 700 Radice Iii, Ft Lauderdale, FL 33334-3637 • United States

Boca Raton, FL • 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
Northwestern Mutual Life Milwaukee WI 09/1994 06/2017
Northwestern Mutual Life Insurance Compa Milwaukee WI 09/1994 06/2017
Northwestern Mutual Investment Services, Llc Boca Raton FL 04/1996 06/2017
Northwestern Mutual Wealth Management Company Milwaukee WI 01/2016 06/2017
Massachusetts Mutual Life Insurance Company Ft Lauderdale FL 07/2017 Present
Mml Investors Services, Llc Ft Lauderdale FL 08/2017 Present
  • 09/1994 → 06/2017
    Northwestern Mutual Life
    Milwaukee, WI
  • 09/1994 → 06/2017
    Northwestern Mutual Life Insurance Compa
    Milwaukee, WI
  • 04/1996 → 06/2017
    Boca Raton, FL
  • 01/2016 → 06/2017
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 07/2017 → Present
    Massachusetts Mutual Life Insurance Company
    Ft Lauderdale, FL
  • 08/2017 → Present
    Ft Lauderdale, FL
Previous Registrations
Other Businesses

(1)NAME: CAROL HAKEMIAN FELT INV REL: Y ADD: 1000 CORPORATE BLVC SUITE #7, FT. LAUDERDALE, FL 33334 NATURE: OFFERING DISABILITY INCOME PROTECTION, SALES AND SERIVCE OF OTHER FIXED LINES OF INSURANCE POSITION: AGENT START DATE: 10/01/2020 NO HRS/MO: 2 NO HRS/MO TRADING TIME: 0 (2)NAME: CAROL HAKEMIAN FELT INV REL: Y ADD: 301 BELMONT PLACE BOYNTON BEACH, FL 33436 NATURE: RENTAL PROPERTY POSITION: OWNER START DATE: 8/2015 NO HRS/MO: 1 NO HRS/MO TRADING TIME: 0

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-11-14
S63 Uniform Securities Agent State Law Examination 2011-01-22
  • S66 Uniform Combined State Law Examination
    2011-11-14
  • S63 Uniform Securities Agent State Law Examination
    2011-01-22
Other Names
  • Carol E Edwards
  • Carol Elaine Hakemian
  • Carol Elaine Hakemian

View on SEC IAPD

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