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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2019-09-09 |
| WA | RA | APPROVED | 2017-03-25 |
Branch Locations
600 University St Suite 2300, Seattle, WA 98101 • United States
Seattle, WA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Metlife Securities | Bellevue | WA | 08/2015 | 03/2017 |
| Mml Investors Services, Llc | Seattle | WA | 03/2017 | Present |
| Massmutual Life Insurance Co | Seattle | WA | 07/2016 | Present |
(1)NAME: HD ENTERPRISES, LLC INV REL: Y ADDR: 600 UNIVERSITY ST SUITE 2300 SEATTLE WA 98101 NATURE: OTHER- LLC FOR BUSINESS EXPENSES POSITION: 100% owner START: 01/02/2026 NO HRS/MO: 4 NO HRS/MO DUR SEC TRADING: 0 DESCRIBE DUTIES: PAYING ADMINISTRATIVE EXPENSES AND EXPENSES ASSOCIATED WITH BUSINESS. (2)NAME: JUDAH PIANO, INV REL: Y ADDR: SUITE 2300, 600 UNIVERSITY ST, SEATTLE WA 98101, NATURE:OUTSIDE INSURANCE, POSITION: INDEPENDENT INSURANCE AGENT, START: 09/19/2022, NO HR/MO: 2 NO HR/MO DUR TRADING:1, DUTIES:LIFE, DISABILITY, LONG-TERM CARE, FIXED ANNUITIES, HEALTH.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-11-24 |
| S63 | Uniform Securities Agent State Law Examination | 2014-10-15 |
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