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

Branch Locations

13455 Noel Road 20Th Floor, Dallas, TX 75240 • United States

Plano, TX • 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
Metlife Securities Inc. Dallas TX 05/1987 03/2017
Mml Investors Services, Llc Dallas TX 03/2017 Present
Massmutual Life Insurance Co Dallas TX 07/2016 Present
  • 05/1987 → 03/2017
    Metlife Securities Inc.
    Dallas, TX
  • 03/2017 → Present
    Dallas, TX
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Dallas, TX
Previous Registrations
  • 1988-02-12 → 2017-03-25
    Msi Financial Services, Inc.
    Dallas, TX
    Dallas, TX
Other Businesses

NAME: AMY NG INV REL: Y ADD: 13455 NOEL RD, 20TH FLOOR DALLAS TX 75240 NATURE: NONMMLIA - INDIVIDUAL LIFE, PROPERTY/CASUALTY, FIXED ANNUITY, LTC POSITION: AGENT START DATE: 1989 No. HR/MO: 0. No. HR/MO DURING SEC TRADING: 0.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1999-11-12
S63 Uniform Securities Agent State Law Examination 1988-02-09
  • S65 Uniform Investment Adviser Law Examination
    1999-11-12
  • S63 Uniform Securities Agent State Law Examination
    1988-02-09

View on SEC IAPD

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