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Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2017-03-25
  • IL RA
    APPROVED
    Since 2017-03-25

Branch Locations

2441 Warrenville Road Suite 300, Lisle, IL 60532 • 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 No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Massachusetts Mutual Life Insurance Company Lisle IL 07/2016 Present
Mml Investors Services, Llc Lisle IL 03/2017 Present
Previous Registrations
  • 1998-07-13 → 2017-03-25
    Msi Financial Services, Inc.
    Buffalo Grove, IL
    Downers Grove, IL
    Itasca, IL
Other Businesses

INDEPENDENT INSURANCE AGENT SELLING FIXED ANNUITIES, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE FROM RESIDENTIAL ADDRESS 8 WEEKDAY HOURS AND 4 EVENING/WEEKEND HOURS SINCE 2/14.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-18
S63 Uniform Securities Agent State Law Examination 1991-12-07
  • S65 Uniform Investment Adviser Law Examination
    1998-06-18
  • S63 Uniform Securities Agent State Law Examination
    1991-12-07

View on SEC IAPD

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