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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2015-03-24
  • CA RA
    APPROVED
    Since 2015-03-24

Branch Locations

2540 Huntington Dr Suite 105, San Marino, CA 91108 • 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
Massmutual Life Insurance Company San Marino CA 10/2014 Present
Mml Investors Services, Llc San Marino CA 03/2015 Present
Previous Registrations
  • 2000-05-09 → 2015-02-03
    San Marino, CA
    Hacienda Heights, CA
    Monterey Park, CA
    Hacienda Heights, CA
Other Businesses

(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.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-08-12
  • S65 Uniform Investment Adviser Law Examination
    1999-08-12
Designations
Other Names
  • Sheila S Chau

View on SEC IAPD

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