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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 |
|---|---|---|---|
| NY | RA | APPROVED | 2021-06-14 |
Branch Locations
420 Lexington Avenue, 25Th Floor Suite 2510, New York, NY 10170 • United States
Oneonta, NY • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Axa Advisors, Llc | New York | NY | 09/2013 | 10/2017 |
| Mml Investors Services, Llc | New York | NY | 10/2017 | Present |
| Massachusetts Mutual Life Insurance Company | New York | NY | 10/2017 | Present |
NAME: JASON DOI INV REL: Y ADD: RESIDENTIAL ADD NATURE: OUTSIDE INSURANCE POSITION: SALES/AGENT START DATE: 2/11/2019 NO HRS/MO: 2 NO HRS/MO DUR TRADING: 0 DESCRIBE DUTIES: INDIVIDUAL LIFE/HEALTH
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2013-10-16 |
| S63 | Uniform Securities Agent State Law Examination | 2006-03-02 |
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