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James Laurence Unger

Mml Investors Services, LLC

Newtown Square, PA

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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2019-04-18
  • PA RA
    APPROVED
    Since 2019-04-18

Branch Locations

16 Campus Blvd Suite 200, Newtown Square, PA 19073 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Mml Investors Services, Llc Newtown Square PA 12/2018 Present
Massmutual Life Insurance Company Newtown Square PA 11/2018 Present
Pennsylvania State University State College PA 08/2014 08/2018
Mml Investors Services, Llc Newtown Square PA 06/2017 08/2017
Massmutual Life Insurance Company Newtown Square PA 05/2017 08/2017
  • 12/2018 → Present
    Mml Investors Services, Llc
    Newtown Square, PA
  • 11/2018 → Present
    Massmutual Life Insurance Company
    Newtown Square, PA
  • 08/2014 → 08/2018
    Pennsylvania State University
    State College, PA
  • 06/2017 → 08/2017
    Mml Investors Services, Llc
    Newtown Square, PA
  • 05/2017 → 08/2017
    Massmutual Life Insurance Company
    Newtown Square, PA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2019-04-04
  • S66 Uniform Combined State Law Examination
    2019-04-04

View on SEC IAPD

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Other Offices

UP FINTECH ASSET MANAGEMENT · NEWTOWN SQUARE, PA
NEWSQUARE CAPITAL, LLC · NEWTOWN SQUARE, PA
LYNCH INVESTMENT PLANNING, LLC · NEWTOWN SQUARE, PA
MML INVESTORS SERVICES, LLC · Newtown Square, PA
PRIVATE ADVISOR GROUP, LLC · Newtown Square, PA
CETERA INVESTMENT ADVISERS LLC · NEWTOWN SQUARE, PA
GWN SECURITIES INC. · NEWTOWN SQUARE, PA
EQUUS CAPITAL PARTNERS, LTD. · NEWTOWN SQUARE, PA

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