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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 |
|---|---|---|---|
| CA | RA | APPROVED | 2018-08-16 |
Branch Locations
100 Century Center Court Suite 340, San Jose, CA 95112 • United States
San Mateo, CA • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Mass Mutual Life Insurance Co | San Jose | CA | 12/2016 | Present |
| Mml Investors Services, Llc | San Jose | CA | 02/2018 | Present |
| Unemployed | Newark | CA | 06/2016 | 11/2016 |
(1) NAME: CHRISTOPHER LEWIS INV REL: N ADD: 25 E 25TH AVE, SAN MATEO CA 94403 NATURE: PRIVATE BASEBALL SKILL INSTRUCTION POSITION: PRIVATE HITTING INSTRUCTOR START DATE: 08/01/2020 NO HRS/MO: 20 NO HRS/MO DUR TRADING: 0 DUTIES: ONE ON ONE BASEBALL HITTING SESSIONS WITH YOUNG PLAYERS. SESSIONS ARE HELD ON WEEKDAY EVENINGS, WEEKENDS, OUTSIDE OF TRADING HOURS. (2) NAME: HARRIS PRIVATE WEALTH MANAGEMENT & INSURANCE SOLUTIONS, INC INV REL: Y ADD: 100 CENTURY CENTER COURT, SUITE 340, SAN JOSE, CA 95112 NATURE: LIFE, DI, LTX AND FIXED ANNUITIES INSURANCE POSITION: FINANCIAL ADVISOR START DATE: 1/1/2023 NO HRS/MO: 2 NO HRS/MO DUR TRADING: 0 DUTIES: USING OUTSIDE BROKERAGES AND OR DIRECT CONTRACTING WITH INSURANCE CARRIERS TO PROVIDE FIXED INSURANCE ALTERNATIVES
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2018-07-24 |
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