Joseph Peter Guarino

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

Authority	Category	Status	Date
NY	RA	APPROVED	2021-06-14

NY RA
APPROVED

Since 2021-06-14

Branch Locations

48 South Service Road Suite 400, Melville, NY 11747 • 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

Organization	City	State	From	To
Massmutual Life Insurance Co	Melville	NY	10/2012	Present
Mml Investors Services, Llc	Melville	NY	11/2012	Present

10/2012 → Present

Massmutual Life Insurance Co

Melville, NY
11/2012 → Present

Mml Investors Services, Llc

Melville, NY

Other Businesses

NAME: Joseph Guarino INV REL: Y ADD: 48 South Service Road Suite 400 Melville, NY. 11747 NATURE: Life, Health POSITION: Agent START DATE: 1985 NO. HRS/MONTHLY: 5 NO. HRS/MONTHLY DUR SEC TRAD: 0

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2006-01-30
S63	Uniform Securities Agent State Law Examination	1986-08-11

S65 Uniform Investment Adviser Law Examination

2006-01-30
S63 Uniform Securities Agent State Law Examination

1986-08-11

View on SEC IAPD