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Advisor at MML INVESTORS SERVICES, LLC
Richmond, TX | SPRINGFIELD, MA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Jun 17, 2021 | n/a | yes | SPRINGFIELD, MA|Richmond, TX | Current employment |
| RWM CAPITAL, LLC | Independent wealth | Nov 18, 2020 | Jun 7, 2021 | no | SUITE 250, TX|SUGAR LAND, TX | Previous registration |
| MML INVESTORS SERVICES, LLC | Bd affiliated wealth | Mar 25, 2017 | Nov 9, 2020 | no | Richmond, TX|CHARLOTTE, NC|SPRINGFIELD, MA|Missouri City, TX|Richmond, TX | Previous registration |
| MSI FINANCIAL SERVICES, INC. | Former SEC adviser | Dec 15, 2010 | Mar 25, 2017 | no | MISSOURI CITY, TX|CHARLOTTE, NC|AURORA, IL|RICHMOND, TX | Previous registration |
| NEXT FINANCIAL GROUP, INC. | Former SEC adviser | Dec 14, 2010 | Dec 17, 2010 | no | HOUSTON, TX | Previous registration |
| AMERIPRISE FINANCIAL SERVICES, LLC | National bd RIA | Sep 6, 2006 | Nov 29, 2006 | no | HOUSTON, TX | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| RWM CAPITAL, LLC | MML INVESTORS SERVICES, LLC | Jun 7, 2021 | Jun 17, 2021 | 10 | Firm change | RIA to ibd |
| MML INVESTORS SERVICES, LLC | RWM CAPITAL, LLC | Nov 9, 2020 | Nov 18, 2020 | 9 | Firm change | Ibd to new firm |
| MSI FINANCIAL SERVICES, INC. | MML INVESTORS SERVICES, LLC | Mar 25, 2017 | Mar 25, 2017 | 0 | Bulk transfer | Other |
| NEXT FINANCIAL GROUP, INC. | MSI FINANCIAL SERVICES, INC. | Dec 17, 2010 | Dec 15, 2010 | -2 | Firm change | Other |
| AMERIPRISE FINANCIAL SERVICES, LLC | NEXT FINANCIAL GROUP, INC. | Nov 29, 2006 | Dec 14, 2010 | 1,476 | Firm change after gap | Other |