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Michael Edward Klems

Mml Investors Services, LLC

Springfield, MA

Lower Burrell, PA

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Current Employers
Mml Investors Services, Llc

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

Current Registrations

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

Branch Locations

1295 State Street, Springfield, MA 01111 • United States

Lower Burrell, PA • 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 Lower Burrell PA 03/2011 Present
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 Present
Mml Investors Services, Llc Charlotte NC 03/2017 Present
  • 03/2011 → Present
    Metlife Securities
    Lower Burrell, PA
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → Present
    Mml Investors Services, Llc
    Charlotte, NC
Previous Registrations
  • 2011-04-14 → 2017-03-25
    Msi Financial Services, Inc.
    Charlotte, NC
    Lower Burrell, PA
    Aurora, IL
  • 2011-02-08 → 2011-03-10
    Morgan Stanley
    Pittsburgh, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-04-23
S63 Uniform Securities Agent State Law Examination 1997-01-28
  • S65 Uniform Investment Adviser Law Examination
    1997-04-23
  • S63 Uniform Securities Agent State Law Examination
    1997-01-28
Other Names
  • Michael E Klems

View on SEC IAPD

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MARK WILLIAM TEED
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CHARLES M BONATAKIS
JOHN S. BONATAKIS
DIANE LYNN STONE
ANTONIO VENI BASTOS

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · SPRINGFIELD, MA
MORGAN STANLEY · Springfield, MA
LPL FINANCIAL LLC · SPRINGFIELD, MA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SPRINGFIELD, MA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · SPRINGFIELD, MA
HEAPHY INVESTMENTS, LLC · SPRINGFIELD, MA
HEAPHY INVESTMENTS, LLC · Springfield, MA
HEAPHY INVESTMENTS, LLC · SPRINGFIELD, MA

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