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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
WI RA APPROVED 2022-09-23
  • WI RA
    APPROVED
    Since 2022-09-23

Branch Locations

330 E Kilbourn Ave Ste 1277, Milwaukee, WI 53202 • 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
OrganizationCityStateFromTo
Axa Advisors, Llc Beloit WI 06/2016 12/2019
Prudence Harker Beloit WI 09/2017 12/2019
Cambridge Investment Research Advisors, Inc. Racine WI 01/2020 09/2022
Cambridge Investment Research, Inc. Racine WI 01/2020 09/2022
Massmutual Life Insurance Co Milwaukee, WI 09/2022 Present
Mml Investors Services, Llc Milwaukee WI 09/2022 Present
  • 06/2016 → 12/2019
    Axa Advisors, Llc
    Beloit, WI
  • 09/2017 → 12/2019
    Prudence Harker
    Beloit, WI
  • 01/2020 → 09/2022
    Racine, WI
  • 01/2020 → 09/2022
    Cambridge Investment Research, Inc.
    Racine, WI
  • 09/2022 → Present
    Massmutual Life Insurance Co
    Milwaukee,, WI
  • 09/2022 → Present
    Milwaukee, WI
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2016-08-06
  • S66 Uniform Combined State Law Examination
    2016-08-06
Designations

View on SEC IAPD

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