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Neepa V Shah

Mml Investors Services, LLC

Walnut Creek, CA

Fremont, CA

Pleasanton, CA

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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 2019-07-26
CA RA APPROVED 2011-02-22
  • TX RA
    APPROVED_RES
    Since 2019-07-26
  • CA RA
    APPROVED
    Since 2011-02-22

Branch Locations

1676 N California Blvd Ste 430, Walnut Creek, CA 94596 • United States

Fremont, CA • United States

6701 Koll Center Parkway Ste 140, Pleasanton, CA 94566 • 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 Pleasanton CA 11/2010 Present
Mml Investors Services Pleasanton CA 02/2011 Present
  • 11/2010 → Present
    Mass Mutual Life Insurance Company
    Pleasanton, CA
  • 02/2011 → Present
    Mml Investors Services
    Pleasanton, CA
Previous Registrations
  • 2010-03-29 → 2010-07-30
    Waddell & Reed
    San Mateo, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-03-26
  • S66 Uniform Combined State Law Examination
    2010-03-26
Other Names
  • Neepa V Shah
  • Neepa Shah

View on SEC IAPD

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Annie Claire Klopstock
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Other Offices

USCF ADVISERS · WALNUT CREEK, CA
BURTON ENRIGHT WELCH · WALNUT CREEK, CA
WEALTH ENHANCEMENT ADVISORY SERVICES, LLC · WALNUT CREEK, CA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · WALNUT CREEK, CA
SAVANT WEALTH MANAGEMENT · Walnut Creek, CA
ONE CAPITAL MANAGEMENT, LLC · Walnut Creek, CA
ROCKEFELLER FINANCIAL LLC · Walnut Creek, CA
OSAIC WEALTH, INC. · WALNUT CREEK, CA

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