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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
PA RA APPROVED 2024-12-04
  • PA RA
    APPROVED
    Since 2024-12-04

Branch Locations

30 South 17Th Street Suite 204, Philadelphia, PA 19103 • United States

Sinking Spring, PA • 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 Philadelphia PA 06/2024 Present
Massmutual Life Insurance Company Philadelphia PA 02/2024 Present
U.S. House Of Representatives Washington, D.C. DC 12/2022 02/2024
Ben Cline For Congress Harrisonburg VA 06/2022 11/2022
Sage Settlement Consulting Austin TX 05/2024 Present
Mister Car Wash Reading PA 01/2016 05/2018
U.S House Of Representatives Roanoke VA 06/2022 10/2022
James Madison University Harrisonburg VA 08/2018 05/2022
Unemployed Reading PA 05/2018 08/2018
  • 06/2024 → Present
    Philadelphia, PA
  • 02/2024 → Present
    Massmutual Life Insurance Company
    Philadelphia, PA
  • 12/2022 → 02/2024
    U.S. House Of Representatives
    Washington, D.C., DC
  • 06/2022 → 11/2022
    Ben Cline For Congress
    Harrisonburg, VA
  • 05/2024 → Present
    Sage Settlement Consulting
    Austin, TX
  • 01/2016 → 05/2018
    Mister Car Wash
    Reading, PA
  • 06/2022 → 10/2022
    U.S House Of Representatives
    Roanoke, VA
  • 08/2018 → 05/2022
    James Madison University
    Harrisonburg, VA
  • 05/2018 → 08/2018
    Unemployed
    Reading, PA
Other Businesses

(1) Name: Dylan Audi Inv Rel: Y Add: Residential Address Nature: Outside Insurance Sales Position: Insurance Broker Start Date: 05/01/2024 No Hrs/Mo: 5 No/Hrs Mo dur trading: 2 Describe Duties: Life(term/universal/whole), Disability, Long-term care and Fixed annuities. (2) Name: Sage Settlement Consulting Inv Rel: Y Add: Residential Address Nature: Consulting/Structured Settlements Position: Settlement Advisor Start Date: 05/02/2024 No Hrs/Mo: 80 No/Hrs Mo dur trading: 20 Describe Duties: This activity involves advising individuals who receive personal injury settlements on structured settlements.

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2024-11-20
  • S66 Uniform Combined State Law Examination
    2024-11-20
Other Names
  • Dylan Audi

View on SEC IAPD

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