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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
NH RA APPROVED 2015-01-05
  • NH RA
    APPROVED
    Since 2015-01-05

Branch Locations

43 Constitution Drive Suite 201, Bedford, NH 03110 • United States

33 Franklin Street, Nashua, NH 03064 • United States

1030 Candia Road, Manchester, NH 03109 • 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
Mass Mutual Life Insurance Company Bedford NH 08/2013 Present
Mml Investors Services, Llc Bedford NH 08/2013 Present
Other Businesses

Name: Brian Luce Inv rel: Y Add: 64 Dearborn St. Manchester, NH. 03103 Nature: Simple Rental Property Position: Sales, ownership Start date: 2/01/2015 No. HR/MO: 12 No. HR/MO during sec trading: 0 (2) Name: Brian Luce Inv rel: Y Add: 43 Constitution Dr Suite 201 Bedford NH 03110 Nature: Life and health insurance sales Position: Sales Start Date: 08/01/2013 No. HR/MO: 5. No. HR/MO DURING SEC TRADING: 5 (3) Name: Brian Luce Inv rel: Y Add: Residential Address Nature: Real Estate/ Rental Properties Position: Owner Start date: 9/09/2020 No. HR/MO: 10 No. HR/MO during sec trading: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-11-17
S63 Uniform Securities Agent State Law Examination 2008-09-16
  • S65 Uniform Investment Adviser Law Examination
    2014-11-17
  • S63 Uniform Securities Agent State Law Examination
    2008-09-16
Other Names
  • Brian Luce

View on SEC IAPD

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