Richard Gregory Sullivan

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
CA	RA	APPROVED	1999-11-15

CA RA
APPROVED

Since 1999-11-15

Branch Locations

2 Theatre Square Suite 234, Orinda, CA 94563 • United States

1676 N California Blvd Ste 430, Walnut Creek, CA 94596 • 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

Organization	City	State	From	To
Mml Investors Services, Inc.	Walnut Creek	CA	03/1996	Present
Massmutual Life Insurance Company	Walnut Creek	CA	03/1996	Present

03/1996 → Present

Mml Investors Services, Inc.

Walnut Creek, CA
03/1996 → Present

Massmutual Life Insurance Company

Walnut Creek, CA

Other Businesses

NAME: RICHARD SULLIVAN, INS AGENT INV REL: Y ADD:1676 N CALIFORNIA BLVD STE 430 WALNUT CREEK CA 94596 NATURE: INDIVIDUAL LIFE/HLTH, GROUP LIFE/HEALTH INS POSITION: AGENT START DATE:1/1976 HR/MO:10 HR/MO D TRAD:5 DUTIES: SALES AND SERVICE

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	1999-11-09

S66 Uniform Combined State Law Examination

1999-11-09

View on SEC IAPD