Cathy Guiying Mu

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/1998 → Present
  Guiying Mu, Cpa
  Richmond, CA
• 11/2002 → Present
  Mml Investors Services Inc
  Walnut Creek, CA
• 11/2002 → Present
  Mass Mutual Life Insurance
  Pleasanton, CA

Previous Registrations

• 1999-06-21 → 2002-12-20
  Avantax Advisory Services
  Albany, CA

Other Businesses

(1) NAME: CATHY MU INV REL: Y ADD: 441 38TH, RICHMOND, CA NATURE: VARIOUS RENTAL PROPERTIES POSITION: OWNER START DATE: 1/1/09 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 (2) NAME: CATHY MU, CPA INV REL: Y ADD:RESIDENTIAL ADD NATURE: TAX PREPARATION POSITION: OWNER START DATE: 11/1/98 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 0 (3) NAME: THE THRIVING FOUNDATION INV REL: N ADD: 26 CAMELBACK CT PLEASANT HILL CA 94523 NATURE: EDUCATIONAL PUBLIC CHARITY 501(C) (3) TEACING CLASSES ON HEALTH AND WELL-BEING POSITION: BOARD MEMBER/CEO/EXECUTIVE DIRECTOR START DATE: 6/20/13 NO. HR/MO: 80 NO. HR/MO DURING SEC TRADING: 0 DUTIES: TEACHING CLASSES AND RUNNING THE FOUNDATION (4) NAME: PB INFUSION, LLC INV REL: N ADD: RESIDENTIAL NATURE: RETAIL SALES- SALES OF QI-INFUSED ITEMS POSITION: MANAGING OFFICER START DATE: 1/2/2014 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 0 DUTIES: OWNER, DUE TO VERY LIMTED ACTIVITY, I BARELY DO ANYTHING OTHER THAN OWN IT AND REPORTING IT IN TAX RETURNS

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-02-17
• S63 Uniform Securities Agent State Law Examination
  1999-05-19

Other Names

• Cathy Mu
• Guiying Mu
• Guiying Mu