James Frederick Glass

Current Employers

Mml Investors Services, Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2015-08-03
CA	RA	APPROVED	2002-05-29

TX RA
APPROVED

Since 2015-08-03
CA RA
APPROVED

Since 2002-05-29

Branch Locations

100 Century Center Court Suite 340, San Jose, CA 95112 • 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
Mass Mutual	San Jose	CA	04/1999	Present
Mml Investors Services	San Jose	CA	07/1999	Present

04/1999 → Present

Mass Mutual

San Jose, CA
07/1999 → Present

Mml Investors Services

San Jose, CA

Other Businesses

(1.) NAME:GLASS AND ASSOCIATES. INV REL: Y. ADD:12280 SARATOGA-SUNNYVALE RD SUITE 103, SARATOGA, CA 95070. NATURE:HEALTH. POSITION:AGENT. START DATE:1988. NO. HR/MO:1-2. NO. HR/MO DURING SEC TRADING:0. (2.) NAME:RENTAL PROPERTY OWNER. INV REL: Y. ADD:12280 SARATOGA-SUNNYVALE RD SARATOGA, CA 95070. NATURE:RENTAL PROPERTY OWNER. POSITION:OWNER. START DATE:2002. NO. HR/MO: 0. NO. HR/MO DURING SEC TRADING:0. DESCRIBE DUTIES:COLLECT RENT.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2002-05-11
S63	Uniform Securities Agent State Law Examination	1987-02-04

S65 Uniform Investment Adviser Law Examination

2002-05-11
S63 Uniform Securities Agent State Law Examination

1987-02-04