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1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2015-03-24 |
Branch Locations
2540 Huntington Dr Suite 105, San Marino, CA 91108 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Life Insurance Company | San Marino | CA | 10/2014 | Present |
| Mml Investors Services, Llc | San Marino | CA | 03/2015 | Present |
(1) NAME: SHEILA CHAU INV REL: Y ADD: 2540 HUNTINGTON DR STE 105 SAN MARINO CA 91108 NATURE: INSURANCE POSITION: AGENT START DATE: 1985 NO. HR/MO: 40 NO. HR/MO DURING SEC TRADING: 10 DESCRIBE DUTIES: SALES OF MEDICAL & LIFE INSURANCE (2) NAME: SHEILA CHAU INV REL: Y ADD: RESIDENTIAL ADD NATURE: REAL ESTATE POSITION: OWNER START DATE: 2010 NO HR/MO: 3 NO. HR/MO DURING SEC TRADING: 3 (3) NAME: SHEILA CHAU INV REL: N ADD: RESIDENTIAL ADD NATURE: COURT INTERPRETER POSITION: CERTIFIED COURT INTERPRETER START DATE: 1985 NO. HR/MO: 10 NO HR/MO DURING SEC TRADING: 3 DESCRIBE DUTIES: ENGLISH/CHINESE INTERPRETER FOR THE COUNTY COURTS OF LOS ANGELES (4) NAME: SHEILA CHAU INV REL: Y ADD: RESIDENTIAL ADD NATURE: BOARD MEMBER POSITION: BOARD OF DIRECTOR START DATE: 2009 NO. HR/MO: 3 NO. HR/MO DURING SEC TRADING: 3 DESCRIBE DUTIES: BOARD OF DIRECTOR FOR CALIFORNIA INSURANCE & FINANCIAL PROFESSIONAL (5) NAME: SHEILA CHAU INV REL: Y ADD: RESIDENTIAL ADD NATURE: BOARD MEMBER POSITION: BOARD OF DIRECTOR START DATE: 2010 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 2 DESCRIBE DUTIES: BOARD OF DIRECTOR FOR HKUAASC (6) NAME: SHEILA CHAU INV REL: Y ADD: 2540 HUNTINGTON DR, STE 105, SAN MARINO CA 91108 NATURE: LIFE SETTLEMENT (SINGLE CASE ONLY) POSITION: AGENT START DATE: 08/13/2025 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: ASSIST A CLIENT TO GO THROUGH LIFE SETTLEMENT OF A LIFE INSURANCE POLICY WHICH POLICY OWNERS DO NOT WANT TO CONTINUE THE PREMIUM.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 1999-08-12 |
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