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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 2017-05-05
WA RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2017-05-05
  • WA RA
    APPROVED
    Since 2017-03-25

Branch Locations

4301 S Pine St. Ste. 457, Tacoma, WA 98409 • United States

Disclosures

2 disclosure categories 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 Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Metropolitan Life Insurance Co Tacoma WA 07/2002 03/2017
Metlife Securities, Inc. Tacoma WA 07/2002 03/2017
Massachusetts Mutual Life Insurance Company Springfield MA 07/2016 Present
Mml Investors Services, Llc Tacoma WA 03/2017 Present
  • 07/2002 → 03/2017
    Metropolitan Life Insurance Co
    Tacoma, WA
  • 07/2002 → 03/2017
    Metlife Securities, Inc.
    Tacoma, WA
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Springfield, MA
  • 03/2017 → Present
    Tacoma, WA
Previous Registrations
  • 2002-08-29 → 2017-03-25
    Msi Financial Services, Inc.
    Tacoma, WA
    Tacoma, WA
Other Businesses

OWNER OF RENTAL PROPERTY AT 3008 NORTH NARROWS DRIVE A202 TACOMA WA 98407 1 WEEKDAY AND 1 EVENING/WEEKEND HOURS STARTED 3/13.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-08-07
S63 Uniform Securities Agent State Law Examination 1985-02-18
  • S65 Uniform Investment Adviser Law Examination
    2002-08-07
  • S63 Uniform Securities Agent State Law Examination
    1985-02-18

View on SEC IAPD

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