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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 2017-05-26
MI RA APPROVED 2010-04-16
  • TX RA
    APPROVED_RES
    Since 2017-05-26
  • MI RA
    APPROVED
    Since 2010-04-16

Branch Locations

4039 Legacy Parkway Suite A & B, Lansing, MI 48911 • United States

Okemos, MI • 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
Mass Mutual Life Insurance Company Lansing MI 07/1986 Present
Mml Investors Services, Llc Lansing MI 10/1986 Present
Other Businesses

Name: R & A Management LLC Inv rel: Y Add: 4039 Legacy Parkway Ste B Lansing, MI. 48911 Nature: LLC formed to manage office and employees Position: Partner Start date: 5/03/2018 No. HR/MO: 5 No. HR/MO during sec trading: 0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-03-04
S63 Uniform Securities Agent State Law Examination 1986-12-03
  • S65 Uniform Investment Adviser Law Examination
    2010-03-04
  • S63 Uniform Securities Agent State Law Examination
    1986-12-03
Other Names
  • J R Richards

View on SEC IAPD

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