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Mml Investors Services, LLC CRD 10409
$116B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| AZ | RA | APPROVED | 2025-02-06 |
Branch Locations
1295 State Street, Springfield, MA 01111 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Charles Schwab & Co., Inc. | Peoria | AZ | 12/2009 | 07/2018 |
| Charles Schwab Bank | Peoria | AZ | 07/2016 | 05/2017 |
| Schwab Private Client Investment Advisory, Inc. | Phoenix | AZ | 05/2017 | 07/2018 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Chandler | AZ | 07/2018 | 06/2019 |
| Bank Of America, N.A. | Chandler | AZ | 08/2018 | 06/2019 |
| Sagepoint Financial | Phoenix | AZ | 06/2019 | 12/2021 |
| Walmart Health Virtual Care | Phoenix | AZ | 01/2022 | 07/2022 |
| Lpl Financial Llc | Phoenix | AZ | 08/2022 | 01/2025 |
| Massmutual | Springfield | MA | 01/2025 | Present |
| Mml Investors Services, Llc | Glendale | AZ | 01/2025 | Present |
| Osaic, Inc. | Phoenix | AZ | 06/2019 | 12/2021 |
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2016-05-25 |
| S63 | Uniform Securities Agent State Law Examination | 2010-03-12 |
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