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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2024-07-01
  • IL RA
    APPROVED
    Since 2024-07-01

Branch Locations

30 S Wacker Drive Suite 2700, Chicago, IL 60606 • 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 No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mml Investors Services, Llc Chicago IL 05/2017 02/2022
Johnson Global Strategists Port Orange FL 11/2014 11/2016
Hoopis Capital Management Chicago IL 11/2016 12/2020
Massmutual Life Ins Co/West Point Capital Chicago IL 05/2017 02/2022
Infinity Strategic Partners, Llc Northbrook IL 02/2022 05/2024
Equitable Advisors, Llc New York NY 02/2022 05/2024
Mml Investors Services, Llc Chicago IL 06/2024 Present
Massmutual Life Insurance Company Chicago IL 06/2024 Present
Massmutual Life Insurance Co Chicago IL 11/2016 05/2017
  • 05/2017 → 02/2022
    Chicago, IL
  • 11/2014 → 11/2016
    Johnson Global Strategists
    Port Orange, FL
  • 11/2016 → 12/2020
    Hoopis Capital Management
    Chicago, IL
  • 05/2017 → 02/2022
    Massmutual Life Ins Co/West Point Capital
    Chicago, IL
  • 02/2022 → 05/2024
    Infinity Strategic Partners, Llc
    Northbrook, IL
  • 02/2022 → 05/2024
    New York, NY
  • 06/2024 → Present
    Chicago, IL
  • 06/2024 → Present
    Massmutual Life Insurance Company
    Chicago, IL
  • 11/2016 → 05/2017
    Massmutual Life Insurance Co
    Chicago, IL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2022-10-11
  • S66 Uniform Combined State Law Examination
    2022-10-11
Other Names
  • Matt Smart

View on SEC IAPD

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