Hector Luis Otero-santos

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
GA	RA	APPROVED	2025-07-17
TX	RA	APPROVED_RES	2025-04-15
PR	RA	APPROVED	2025-03-27

GA RA
APPROVED

Since 2025-07-17
TX RA
APPROVED_RES

Since 2025-04-15
PR RA
APPROVED

Since 2025-03-27

Branch Locations

Plaza 273 Suite 1400 Ponce De Leon Avenue, San Juan, PR 00917 • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Axa Advisors, Llc	New York	NY	08/2006	06/2020
Equitable Advisors, Llc	New York	NY	08/2006	10/2023
Mml Investors Services Llc	San Juan	PR	10/2023	Present
Massmutual Life Insurance Co	San Juan	PR	10/2023	Present

08/2006 → 06/2020

Axa Advisors, Llc

New York, NY
08/2006 → 10/2023

Equitable Advisors, Llc

New York, NY
10/2023 → Present

Mml Investors Services Llc

San Juan, PR
10/2023 → Present

Massmutual Life Insurance Co

San Juan, PR

Other Businesses

(1)NAME: RAPOSO & ASSOCIATES LLC INV REL: Y ADD: 270 MUNOZ RIVERA SUITE 102 SAN JUAN PR 00918 NATURE: TAX SERVICES & BUSINESS CONSULTING POSITION: BUSINESS DEVELOPMENT START DATE: 1/1/2019 NO HRS/MO: 5 NO HRS/MO DUR TRADING: 0 DESCRIBE DUTIES: HELP ESTABLISH NEW IDEAS AND PROCESSES TO OBTAIN PROSPECTS AND CLIENTS FOR THE TAX SERVICES FIRM. (2)NAME: CLUB DE TENIS SAN FRANSICO INV REL: N ADD: CLUB DE TENIS, 105, CLL LILAS SAN JUAN 00927, PUERTO RICO NATURE: TENNIS CLUB POSITION: VOCAL START DATE: 1/1/2021 NO HRS/MO: 5 NO HRS/MO DUR TRADING: 0 DESCRIBE DUTIES: NORMAL DUTIES. (3)NAME: PC'S LLC INV REL: Y ADD: 270 MUNOZ RIVERA SUITE 102 SAN JUAN PR 00918 NATURE: THIS LLC HAS A REFERRAL AGREEMENT WITH THE COMPANY ADP; FOR REFERRING BUSINESS AND PROSPECTS POSITION: MANAGING MEMBER START DATE: 10/2020 NO HRS/MO: 8 NO HRS/MO DUR TRADING: 0 DESCRIBE DUTIES: REFERRAL FEE FOR NEW BUSINESS GIVEN TO ADP. (4)NAME: HECTOR OTERO INV REL: Y ADD: 270 MUNOZ RIVERA SUITE 102 SAN JUAN PR 00918 NATURE: OUTSIDE INSURANCE SALES POSITION: AGENT START DATE: 1/3/2007 NO HRS/MO: 18 NO HRS/MO DUR TRADING: 10 DESCRIBE DUTIES: LIFE, FIXED ANNUITIES, DISABILITY, HEALTH, & PROPERTY & CASUALTY. (5)NAME: FYC, LLC INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: INVESTMENT LLC (CASH/MONEY ONLY FOR ASSET PROTECTION) POSITION: OWNER/MEMBER START DATE: 1/1/2023 NO HRS/MO: 0 NO HRS/MO DUR TRADING: 0 DESCRIBE DUTIES: BUY AND SELL ASSETS, LIQUID INVESTMENTS.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2025-03-14
S63	Uniform Securities Agent State Law Examination	2006-12-28

S65 Uniform Investment Adviser Law Examination

2025-03-14
S63 Uniform Securities Agent State Law Examination

2006-12-28

Other Names

Tito Otero

View on SEC IAPD