Raymond Cui

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	2019-03-25

TX RA
APPROVED

Since 2019-03-25

Branch Locations

3040 Post Oak Boulevard Suite 2000, Houston, TX 77056 • United States

Jersey Village, TX • United States

Disclosures

2 disclosure categories 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 Yes
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
Invesco Advisers, Inc/Invesco Distributors, Inc.	Atlanta	GA	01/2014	12/2017
Massmutual	Houston	TX	08/2018	Present
Mml Investors Services	Houston	TX	09/2018	Present
Advanced Healthcare	Houston	TX	10/2016	08/2018

01/2014 → 12/2017

Invesco Advisers, Inc/Invesco Distributors, Inc.

Atlanta, GA
08/2018 → Present

Massmutual

Houston, TX
09/2018 → Present

Mml Investors Services

Houston, TX
10/2016 → 08/2018

Advanced Healthcare

Houston, TX

Previous Registrations

2016-04-05 → 2017-12-18

Invesco Advisers, Inc.

Houston, TX

Atlanta, GA

Other Businesses

(1)Name: Advanced Healthcare Professionals, Inc. Inv rel: N Add: 7001 Corporate Dr. Suite 306A Houston TX 77036 Nature: Other - Taking care of the elderly by administering proper care. Position: Care Taker Start date: 12/02/2019 No. HR/MO: 80 No. HR/MO during sec trading: 0 (2)Name: Wind Walk Investments LLC Inv rel: Y Add: At Residential Address Nature: Realtor / Real Estate - Buying & selling of real estate property. Position: Owner Start date: 02/01/2021 No. HR/MO: 10 No. HR/MO during sec trading: 0 Describe duties: Buy, sell. manage property. (3)Name: Raymond Cui Inv rel: Y Add: Three Greenway Plaza Suite 1500 Houston TX 77046 Nature: Outside Insurance; Life Insurance Position: Financial Planner Start date: 04/27/2021 No. HR/MO: 1 No. HR/MO during sec trading: 1 (4)Name: ACE NextGen Inv rel: Y Add: 2238 Ashford Hollow Ln Houston TX 77077 Nature: Board Service Position: Board Member Start date: 01/01/2019 No. HR/MO: 5 No. HR/MO during sec trading: 0 Describe duties: Promote Asian American and Pacific Islander leadership and entrepreneurship by proving a platform and resource for them to grow their businesses and personal development.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-03-28

S66 Uniform Combined State Law Examination

2016-03-28

Other Names

Ray Cui

View on SEC IAPD