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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-05-26
IA RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2017-05-26
  • IA RA
    APPROVED
    Since 2017-03-25

Branch Locations

5550 Wild Rose Lane Ste 100, West Des Moines, IA 50266 • United States

Disclosures

1 disclosure category 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc. W Des Moines IA 09/1986 03/2017
Massachusetts Mutual Life Insurance Company West Des Moines IA 07/2016 Present
Mml Investors Services, Llc West Des Moines IA 03/2017 Present
  • 09/1986 → 03/2017
    Metlife Securities Inc.
    W Des Moines, IA
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    West Des Moines, IA
  • 03/2017 → Present
    West Des Moines, IA
Previous Registrations
  • 1999-01-01 → 2017-03-25
    Msi Financial Services, Inc.
    West Des Moines, IA
    W Des Moines, IA
Other Businesses

Independent Insurance Agent-from business address-0hrs involved-Group Life Insurance & Group Health Insurance-since 01/1999 (2). MetLife P&C-from business address-1hrs sec, 0hrs nonsec-Property & Casualty-since 07/2016

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-11-24
  • S63 Uniform Securities Agent State Law Examination
    1986-11-24

View on SEC IAPD

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