Mauro Gonzalez

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:

Current Employers

Mml Investors Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2022-08-19

TX RA
APPROVED

Since 2022-08-19

Branch Locations

4325 N. 23Rd St Ste B, Mcallen, TX 78504 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination Yes

Employment History

Organization	City	State	From	To
New York Life Insurance Co	Edinburg	TX	09/2013	08/2020
Nylife Securities Llc	Edinburg	TX	01/2017	08/2020
Massmutual Life Insurance Company	Mcallen	TX	10/2020	Present
Mml Investors Services, Llc	Mcallen	TX	10/2020	Present

09/2013 → 08/2020

New York Life Insurance Co

Edinburg, TX
01/2017 → 08/2020

Nylife Securities Llc

Edinburg, TX
10/2020 → Present

Massmutual Life Insurance Company

Mcallen, TX
10/2020 → Present

Mml Investors Services, Llc

Mcallen, TX

Other Businesses

NAME: MAURO GONZALEZ III INV REL: Y ADD: 4325 N 23RD ST, SUITE B. MCALLEN TX 78504 NATURE: OUTSIDE INSURANCE SALES POSITION: INSURANCE BROKER START DATE: 05/12/2025 No. HR/MO: 5. No. HR/MO DURING SEC TRADING: 0. DESCRIBE DUTIES: LIFE, HEALTH.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2022-08-10
S63	Uniform Securities Agent State Law Examination	2018-07-21

S65 Uniform Investment Adviser Law Examination

2022-08-10
S63 Uniform Securities Agent State Law Examination

2018-07-21

Other Names

Mauro Gonzalez

View on SEC IAPD