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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-06-21
NJ RA APPROVED 2020-01-30
TX RA APPROVED 2014-02-13
PA RA APPROVED 2010-06-15
  • FL RA
    APPROVED
    Since 2024-06-21
  • NJ RA
    APPROVED
    Since 2020-01-30
  • TX RA
    APPROVED
    Since 2014-02-13
  • PA RA
    APPROVED
    Since 2010-06-15

Branch Locations

111 East Uwchlan Ave, Exton, PA 19341 • United States

699 Unionville Road, Kennett Square, PA 19348 • United States

Naples, FL • 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
Mml Investors Services, Inc. Exton PA 07/1991 Present
  • 07/1991 → Present
    Mml Investors Services, Inc.
    Exton, PA
Previous Registrations
  • 1991-07-15 → 2006-12-31
    Wienken & Associates, Ltd.
    Exton, PA
Other Businesses

NAME: VICTOR E. DUPUIS INV REL: Y ADD: 113 BLACKSHIRE ROAD, KENNETT SQUARE, PA 19348 NATURE: LIFE AND HEALTH INSURANCE POSITION: AGENT START DATE: 06/1982 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 5 DESCRIBE DUTIES: LIFE AND HEALTH INSURANCE AGENT

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1983-07-30
  • S63 Uniform Securities Agent State Law Examination
    1983-07-30
Designations

View on SEC IAPD

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