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

Branch Locations

16150 Main Circle Drive Suite 400, Chesterfield, MO 63017 • 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. St Louis MO 04/1987 03/2017
Mml Investors Services, Llc Chesterfield MO 03/2017 Present
Massmutual Life Insurance Co Chesterfield MO 07/2016 Present
  • 04/1987 → 03/2017
    Metlife Securities Inc.
    St Louis, MO
  • 03/2017 → Present
    Chesterfield, MO
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Chesterfield, MO
Previous Registrations
  • 1998-11-05 → 2017-03-25
    Msi Financial Services, Inc.
    St. Louis, MO
    Chesterfieldq, MO
    Columbia, MO
    Columbia, MO
    Alton, IL
Other Businesses

(1) NAME: CPMN, LLC INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE: OWNER OF LLC POSITION: PART OWNER START DATE: 03/2008 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: OWNS COMMERCIAL REAL ESTATE (2) NAME: MORGHIS REAL ESTATE PROPERTIES INV REL: Y ADD: AT RESIDENTIAL ADDRESS NATURE: REAL ESTATE POSITION: OWNER START DATE: 12/2013 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 1 (3) NAME: THOMAS INSURANCE ADVISORS INV REL: Y ADDR: 632B TRADE CENTER BLVD, CHESTERFIELD, MO 63005 NATURE: OUTSIDE INSURANCE POSITION: ADVISOR START: 10/01/2021 NO HRS/MO: 3 NO HRS/MO DUR TRADING: 0 DUTIES: REFER TO A P&C ADVISOR. DESCRIBE DUTIES: LIFE, DISABILITY, PROPERTY AND CASUALTY, EQUITY FIXED LIFE, LONG-TERM CARE, FIXED ANNUITIES

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-12-27
S63 Uniform Securities Agent State Law Examination 1985-01-07
  • S65 Uniform Investment Adviser Law Examination
    1999-12-27
  • S63 Uniform Securities Agent State Law Examination
    1985-01-07
Other Names
  • Mian Moghis
  • Dna Mian
  • A Moghis Mian

View on SEC IAPD

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