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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
GA RA APPROVED 2017-03-25
  • GA RA
    APPROVED
    Since 2017-03-25

Branch Locations

3720 Davinci Court Suite 150, Peachtree Corners, GA 30092 • United States

Atlanta, GA • United States

Disclosures

2 disclosure categories 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 No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc. Atlanta GA 01/2015 03/2017
Massmutual Life Insurance Co Peachtree Corners GA 07/2016 Present
Mml Investors Services, Llc Peachtree Corners GA 03/2017 Present
  • 01/2015 → 03/2017
    Metlife Securities Inc.
    Atlanta, GA
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Peachtree Corners, GA
  • 03/2017 → Present
    Peachtree Corners, GA
Previous Registrations
  • 2015-01-02 → 2017-03-25
    Msi Financial Services, Inc.
    Atlanta, GA
  • 2003-02-20 → 2015-01-02
    New England Securities
    Atlanta, GA
    Alpharetta, GA
Other Businesses

NAME: SENIOR INSURANCE CHOICE INV REL: Y ADDR: AT RESIDENTIAL ADDRESS NATURE: NON MMLIA INSURANCE BROKERAGE: INDIVIDUAL LIFE, HEALTH, MEDICARE C&D & MEDICARE SUPPLEMENTS POSITION: SALES START: 10/01/2017 NO HRS/MO: 15 NO HRS/MO DUR TRADING: 15.

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-11-10
  • S63 Uniform Securities Agent State Law Examination
    1986-11-10
Designations
  • Chartered Financial Consultant
Other Names
  • Pamela Graham
  • Pamels Jean Hoppe

View on SEC IAPD

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