Matthew Ronald Williams

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	2017-03-09

TX RA
APPROVED

Since 2017-03-09

Branch Locations

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

Ennis, TX • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

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

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	09/2014	11/2016
Massachusetts Mutual Life Insurance Company	Houston	TX	09/2016	Present
Mml Investors Services, Llc	Houston	TX	12/2016	Present

09/2014 → 11/2016

Axa Advisors, Llc

New York, NY
09/2016 → Present

Massachusetts Mutual Life Insurance Company

Houston, TX
12/2016 → Present

Mml Investors Services, Llc

Houston, TX

Other Businesses

Name: Matthew Williams Inv rel: Y Add: 3040 Post Oak Boulevard, Suite 2000 Houston, TX 77056 Nature: Outside Insurance; Life, Disability, Fixed Annuities, and Health Position: Financial Planner Start date: 05/10/2021 No. HR/MO: 15 No. HR/MO during sec trading: 10 Describe duties: Group Health Insurance Sales

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-02-16
S63	Uniform Securities Agent State Law Examination	2015-01-29

S65 Uniform Investment Adviser Law Examination

2017-02-16
S63 Uniform Securities Agent State Law Examination

2015-01-29

View on SEC IAPD