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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-11-18
CA RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2024-11-18
  • CA RA
    APPROVED
    Since 2017-03-25

Branch Locations

Brea, CA • United States

4675 Macarthur Court Suite 1050, Newport Beach, CA 92660 • 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
Guardian Glendale CA 02/2015 02/2017
Park Ave Securities Glendale CA 02/2015 01/2017
Msi Financial Services, Inc. Brea CA 01/2017 03/2017
Massmutual Life Insurance Co Newport Beach CA 02/2017 Present
Mml Investors Services, Llc Newport Beach CA 03/2017 Present
  • 02/2015 → 02/2017
    Guardian
    Glendale, CA
  • 02/2015 → 01/2017
    Park Ave Securities
    Glendale, CA
  • 01/2017 → 03/2017
    Msi Financial Services, Inc.
    Brea, CA
  • 02/2017 → Present
    Massmutual Life Insurance Co
    Newport Beach, CA
  • 03/2017 → Present
    Newport Beach, CA
Previous Registrations
  • 2017-02-24 → 2017-03-25
    Msi Financial Services, Inc.
    Brea, CA
  • 2013-06-06 → 2017-02-14
    Claremont, CA
    Glendale, CA
  • 2010-12-14 → 2013-05-08
    City Of Industry, CA
    Brea, CA
  • 2008-10-15 → 2010-12-03
    Investment Advisors International, Inc.
    Anaheim, CA
Other Businesses

Independent insurance agent - from Brea, CA - 0 sec hours 2 non sec hours - selling Dental and Group Disability Income, Disability, Life/Accident/Health, Long-Term Care - servicing Fixed Annuities - since 01/2010 (2) Consult with transportation companies for set up and design and related to transportation activities - from Brea, CA - 2 sec hours 2 non sec hours - since 12/2010 (3) Name: American Alturas Inc Inv Rel: Y Add: 1919 Williams Street, suite 301 Simi Valley CA 93065 Nature/Duties: Owner of Corp for pass through Compensation Position: Owner Start Date: 07/22/2025 No Hrs/Mo: 40 No Hrs/Mo: During Sec Trading: 40

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2009-04-11
S65 Uniform Investment Adviser Law Examination 2008-09-06
  • S63 Uniform Securities Agent State Law Examination
    2009-04-11
  • S65 Uniform Investment Adviser Law Examination
    2008-09-06
Other Names
  • Michael Mcknight

View on SEC IAPD

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