Joshua Richard Waterman

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2016 → 02/2022
  Ameriprise Financial Services, Inc.
  Minneapolis, MN
• 02/2022 → Present
  Massmutual
  Springfield, MA
• 03/2022 → Present
  Mml Investors Services, Llc
  Apple Valley, MN

Previous Registrations

• 2018-10-12 → 2022-02-22
  Ameriprise Financial Services, Llc
  Minneapolis, MN

Other Businesses

1) NAME: Wyndemere Homeowners Association INV REL: Y ADD: 13695 Fleetwood Ave, Apple Valley, MN 55124 NATURE: Management of Association POSITION: Association board member START DATE: January 2022 NO. HR/MO: 1 hour per month max NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: Help address associate rules, vote on paint colors, help with landscaping around associate signage, hang Christmas Light. 2) NAME: Apple Valley Fire Department INV REL: N ADD: 7100 147th St., West, Apple Valley MN 55124 NATURE: Respond to emergency calls when needed POSITION: Firefighter START DATE: 09/29/23 NO. HR/MO: 15 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: Conduct and participate in trainings, hold and maintain on active CPR certification.

Exams

• S66 Uniform Combined State Law Examination
  2018-10-12
• S63 Uniform Securities Agent State Law Examination
  2006-05-19

Other Names

• Joshua Richard Waterman
• Joshua R Waterman
• Joshua Waterman