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Mml Investors Services, LLC CRD 10409
$116B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
1295 State Street, Springfield, MA 01111-0001 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| RI | RA | APPROVED | 2026-08-17 |
Branch Locations
501 Wampanoag Trail Suite 200, East Providence, RI 02915 • United States
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Massmutual Life Insurance Company | La Jolla | CA | 10/2013 | 07/2022 |
| Mml Investors Services Llc | La Jolla | CA | 01/2014 | 07/2022 |
| Principal Life Insurance | San Diego | CA | 07/2022 | 04/2026 |
| Principal Securities, Inc. | San Diego | CA | 07/2022 | 04/2026 |
| Mml Investors Services Llc | East Providence | RI | 04/2026 | Present |
| Massmutual Life Insurance Company | East Providence | RI | 04/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-06-15 |
| S63 | Uniform Securities Agent State Law Examination | 2008-11-10 |
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