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Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2022-07-26
VA RA APPROVED 2022-07-26
  • TX RA
    APPROVED_RES
    Since 2022-07-26
  • VA RA
    APPROVED
    Since 2022-07-26

Branch Locations

Virginia Beach, VA • United States

222 Central Park Ave Suite 1100, Virginia Beach, VA 23462 • 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
J Crew Norfolk VA 05/2019 09/2019
Guardian Life Insurance Company Virginia Beach VA 09/2019 07/2022
Park Avenue Securities Llc Virginia Beach VA 09/2019 07/2022
Old Dominion University Norfolk VA 06/2015 05/2019
Massmutual Life Insurance Co Virginia Beach VA 07/2022 Present
Mml Investors Services, Llc Virginia Beach VA 07/2022 Present
  • 05/2019 → 09/2019
    J Crew
    Norfolk, VA
  • 09/2019 → 07/2022
    Guardian Life Insurance Company
    Virginia Beach, VA
  • 09/2019 → 07/2022
    Virginia Beach, VA
  • 06/2015 → 05/2019
    Old Dominion University
    Norfolk, VA
  • 07/2022 → Present
    Massmutual Life Insurance Co
    Virginia Beach, VA
  • 07/2022 → Present
    Virginia Beach, VA
Previous Registrations
Other Businesses

(1) Name: Reid Barber Inv rel: Y Addr: At residential address Nature: Outside insurance - life, disability, long-term care Position: Agent Start: 08/23/2019 No hrs/mo: 4 No hrs/mo dur trading: 4 Duties: Outside insurance sales. (2) Name: Ashford Strategies, LLC Inv rel: Y Addr: 222 Central Park Ave, Suite 1100, Virginia Beach VA 23462, Nature: LLC Used for Outside Insurance Position: Manager Start: 09/16/2020 No hrs/mo: 4 No hrs/mo dur trading: 2 Duties: LLC used for outside insurance sales for income purposes.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2020-05-18
  • S66 Uniform Combined State Law Examination
    2020-05-18

View on SEC IAPD

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