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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
AL RA APPROVED 2023-12-05
  • AL RA
    APPROVED
    Since 2023-12-05

Branch Locations

3500 Colonnade Pkwy Ste 140, Birmingham, AL 35243-8303 • 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
Strategic Financial Partners/Massmutual Life Insurance Co. Birmingham AL 01/2023 Present
Mml Investors Services, Llc Springfield MA 08/2023 Present
Evangel Christian School Alabaster AL 08/2006 05/2019
Steel City Pops Homewood AL 05/2018 01/2020
Auburn University Auburn AL 08/2019 05/2023
Robert Trent Jones Golf Trail - Grand National Auburn AL 05/2021 09/2021
Southern States Bank Birmingham AL 05/2022 07/2022
Mdsi Inc. Alpharetta GA 02/2023 05/2023
  • 01/2023 → Present
    Strategic Financial Partners/Massmutual Life Insurance Co.
    Birmingham, AL
  • 08/2023 → Present
    Springfield, MA
  • 08/2006 → 05/2019
    Evangel Christian School
    Alabaster, AL
  • 05/2018 → 01/2020
    Steel City Pops
    Homewood, AL
  • 08/2019 → 05/2023
    Auburn University
    Auburn, AL
  • 05/2021 → 09/2021
    Robert Trent Jones Golf Trail - Grand National
    Auburn, AL
  • 05/2022 → 07/2022
    Southern States Bank
    Birmingham, AL
  • 02/2023 → 05/2023
    Mdsi Inc.
    Alpharetta, GA
Other Businesses

1)Name: Weston Akin, Inv Rel: N Addr: 113 Sterling Oaks Dr, Hoover AL 35244, Nature: Wedding and Event DJ, Position: Event DJ, Start: 08/05/2023, No Hr/Mo: 9 No Hr/Mo Dur Trading: 0 Duties: I provide speakers, microphone and music for weddings and school dances on a contractual basis.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-11-09
  • S66 Uniform Combined State Law Examination
    2023-11-09

View on SEC IAPD

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