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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
FL RA APPROVED 2017-03-25
TX RA APPROVED_RES 2017-03-25
  • FL RA
    APPROVED
    Since 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2017-03-25

Branch Locations

1000 Corporate Dr, Suite 700 Radice Iii, Ft Lauderdale, FL 33334-3637 • United States

Hillsboro Beach, FL • 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 No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination Yes
Employment History
OrganizationCityStateFromTo
Metlife Securities Inc. Plantation FL 09/2002 03/2017
Massachusetts Mutual Life Insurance Company Fort Lauderdale MA 07/2016 Present
Mml Investors Services, Llc Fort Lauderdale FL 03/2017 Present
  • 09/2002 → 03/2017
    Metlife Securities Inc.
    Plantation, FL
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Fort Lauderdale, MA
  • 03/2017 → Present
    Fort Lauderdale, FL
Previous Registrations
  • 2002-10-23 → 2017-03-25
    Msi Financial Services, Inc.
    Fort Lauderdale, FL
    Plantation, FL
    Plantation, FL
Other Businesses

(1)NAME: EILEEN CIOE INV REL: Y ADDR: 1000 CORPORATE DR, SUITE 700, FORT LAUDERDALE, FL 33334 NATURE: OUTSIDE INSURANCE - DISABILITY, FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LTC, MEDICARE RELATED PRODUCTS, GROUP PRODUCTS POSITION: AGENT START: 08/20/2016 NO HRS: 0 NO HRS DUR TRADING: 0.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-12-08
S63 Uniform Securities Agent State Law Examination 1987-03-06
  • S65 Uniform Investment Adviser Law Examination
    1993-12-08
  • S63 Uniform Securities Agent State Law Examination
    1987-03-06
Designations
  • Certified Financial Planner

View on SEC IAPD

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