Xiao Chen

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2014 → 09/2017
  New York Life Insurance Company
  Flushing, NY
• 07/2015 → 09/2017
  Nylife Securities Llc
  Flushing, NY
• 10/2017 → Present
  Mml Investors Services, Llc
  Brooklyn, NY
• 10/2017 → Present
  Massmutual Life Insurance Co
  Brooklyn, NY

Other Businesses

(1) NAME: XIAO CHEN, INDIVIDUAL INSURANCE AGENT INV REL: Y ADDR: AT RESIDENTIAL ADDRESS NATURE: NONMMLIA/OUTSIDE INSURANCE - LIFE POSITION: AGENT START: 07/01/2021 NO HRS/MO: 15 NO HRS/MO DUR TRADING: 0 DUTIES: SELL LIFE INSURANCE TO THE CUSTOMER. (2) NAME: CHEN'S INSURANCE AND FINANCIAL SERVICE INC. INV REL: Y ADDR: AT RESIDENTIAL ADDRESS NATURE: CORPORATION FOR OUTSIDE INSURANCE, HEALTH AND P&C BUSINESS POSITION: OWNER START: 06/28/2022 NO HRS/MO: 25 NO HRS/MO DUR TRADING: 0 DUTIES: OPERATE THE BUSINESS .

Exams

• S65 Uniform Investment Adviser Law Examination
  2024-12-02
• S63 Uniform Securities Agent State Law Examination
  2016-09-12

Other Names

• Andy Chen