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Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-10-03
CA RA APPROVED 2013-10-31
  • TX RA
    APPROVED_RES
    Since 2017-10-03
  • CA RA
    APPROVED
    Since 2013-10-31

Branch Locations

4675 Macarthur Court Suite 1050, Newport Beach, CA 92660 • United States

Laguna Niguel, CA • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action Yes
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massmutual Life Insurance Company Newport Beach CA 10/2013 Present
Mml Investors Services Llc Newport Beach CA 10/2013 Present
  • 10/2013 → Present
    Massmutual Life Insurance Company
    Newport Beach, CA
  • 10/2013 → Present
    Newport Beach, CA
Previous Registrations
Other Businesses

NAME: IRA HERMANN INV REL: Y ADD: 4695 MACARTHUR BLVD STE 1000 NEWPORT BEACH CA 92660 NATURE: INSURANCE POSITION: AGENT START DATE: 5/81 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 6-10 (2) NAME: PORTSMOUTH VA INV REL: Y ADD: 24631 BENJAMIN CIR DANA POINT CA 92626 NATURE: BUYING AND REPAIRING PROPERTY, THEN RENTING AND/OR SELLING POSITION: PARTNER/OWNER START DATE: 12/03/2021 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 0 DUTIES: ASSISTING WITH PURCHASE,REPAIR AND SELLING OF PROPERTY (3) NAME: FIRST FINANCIAL RESOURCES GROUP, LLC INV REL: Y ADD: 4695 MACARTHUR COURT #1000 NEWPORT BEACH CA 92660 NATURE: LIFE INSURANCE POSITION: INSURANCE AGENT START DATE: 6/17/2022 NO HRS/MO: 1 NO HRS/MO DUR TRADING: 1 DUTIES: INSURANCE AGENT, THIS IS A PRODUCER GROUP COMPRISED OF OTHER INSURANCE AGENTS FROM THE AROUND THE INDUSTRY AND COUNTRY FORMED TO ASSIST MEMBERS WITH THE NEGOTIATION OF MORE FAVORABLE INSURANCE UNDERWRITING DECISIONS AND MORE FAVORABLE COMMISSION PAYOUTS FROM THE INSURANCE COMPANIES THEY DEAL WITH. (4) NAME: FIRST FINANCIAL RESOURCES GROUP, LLC INV REL: Y ADD: 100 SPECTRUM CENTER DR SUITE #400 IRVINE CA 92618 NATURE: MINORITY OWNER OF AN INSURANCE PRODUCER GROUP POSITION: MINORITY OWNER START DATE: 6/17/2022 NO HRS/MO: 0 NO HRS/MO DUR TRADING: 0 DUTIES: NO SPECIFIC DUTIES, RESPONSIBILITIES OR OBLIGATIONS. BY VIRTURE OF BEING A MEMBER OF THE INSURANCE PRODUCER GROUP I AM ALSO PART OWNER (5) NAME: JMJ FUNDING GROUP, INC INV REL: Y ADD: 12377 LEWIS ST STE 202 GARDEN GROVE CA 92840 NATURE: BUYING PROPERTY, REPAIRING/RENTING, AND /OR SELLING POSITION:INVESTOR START DATE: 8/5/2022 NO HRS/MO: 1 NO HRS/M DUR TRADING: 0 DUTIES: PROVIDING CAPITAL TO HELP BUY AND SELL CONDOS. I WILL HAVE NO INVOLVEMENT OF PICKING OUT REAL ESTATE (6) NAME: CAR WASHES LAND MANAGEMENT CO LLC INV REL: Y ADD:602 AVENIDA DE LA ESTRELLA SAN CLEMENTE CA NATURE: RENOVATING APARTMENT BUILDING AND RENTING TO TENANTS POSITION: INVESTOR & OWNER START DATE: 9/15/2022 NO HRS/MO:1 NO HRS/MO DUR TRADING: 0 DUTIES: I WILL PROVIDE THE CAPTIAL FOR THE INITIAL INVESTMENT AND RENOVATIONS. ONCE READY TO RENT TO TENANTS, I WILL RECIEVE RENTAL INCOME. I WILL NOT HAVE ANY DUITIES IN PROPERTY MANAGEMENT (7) NAME: SEAVIEW TERRACE APARTMENTS INV REL: Y ADD: 602 AVENIDA DE LA ESTRELLA SAN CLEMENTE CA NATURE: RENOVATING APARTMENT BUILDING AND RENTING TO TENANTS POSITION: INVESTOR START DATE: 9/15/2022 NO HRS/ MO: 1 NO HRS/MO DUR TRADING: 0 DUTIES: CAR WASHES LAND MANAGEMENT CO LLC OF WHICH I AM 50% OWNER, WILL PROVIDE CAPITAL OF THE INTITIAL INVESTMENT RENNOVATE THE APARTMENTS BEFORE PUTTING ON THE MARKET TO RENT TO TENANTS (8) NAME: APIZZA DOHO INV REL: Y ADD: 34255 CA-1 SUITE 101-2 , DANA POINT CA 92629 NATURE: A PIZZA RESTAURANT POSITION: INVESTOR START DATE: 12/19/2022 NO HRS/MO: 1 NO HRS/ MO DUR TRADING: 0 DUTIES: I AM PROVIDING $100K IN CAPITAL, BUT HAVE NO SAY IN ANY MANAGEMENT OR DAY TO DAY OPERATIONS. (9) NAME: THE HERMANN FINANCIAL GROUP, LLC INV REL: Y ADD: 4695 MACARTHUR COURT, SUITE 1000 NEWPORT BEACH CA 92660 NATURE: CORPORATION CREATED TO HAVE BUSINESS REVENUE FLOW INTO POSITION: OWNER START DATE: 02/01/2023 NO HRS/MO:40 NO HRS/MO DUR TRADING: 40 DUTIES: I OWN THE CORPORATION AND WILL HAVE ALL BUSINESS REVENUE FLOW THROUGH THE CORPORATION.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1993-09-14
  • S63 Uniform Securities Agent State Law Examination
    1993-09-14
Designations

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