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Joseph Mallee

Director at MML Investors Services

Investment adviser and broker registrationsSEC record checked 17 October 2026

26
Years in the industry
15
Years at the firm
2
Adviser firms
2
State registrations

IAPD record retrieved 17 October 2026SEC record

Joseph Mallee is Director of MML Investors Services, LLC, a Springfield investment adviser managing $116B. Joseph Mallee has been registered through MML Investors Services since 26 January 2011, has 26 years in the industry across 2 firms and has passed 6 licensing exams.

Role at MML Investors Services

Title on Schedule A
Director
Control
Joseph Mallee is a control person of MML Investors Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Joseph Mallee has held the filed role since February 2025.

The firm

MML Investors Services, LLC
Springfield, MA

Form ADV filed 3 September 2026

$116B AUM454,836 clients4,961 advisers26 offices

Career on record

Joseph Mallee has been registered through MML Investors Services since January 2011, and before that through Hornor, Townsend & Kent, Inc..

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Mml Investors Services, LLCCurrent
    – present · 16 years
    Conshohocken, PA · Adviser representative and broker · Firm CRD 10409
  3. Passed Series 65, Series 7 and Series 24 · 2010
  4. Hornor, Townsend & Kent, Inc.
    – · 1 year
    Conshohocken, PA · Adviser representative · Firm CRD 4031
  5. Passed Series 63 · 2001
  6. Passed Series 6 · 2000

Registrations and exams

Joseph Mallee has a current investment-adviser registration in Pennsylvania and Texas and has passed 6 qualifying exams.

Pennsylvania26 January 2011
Scope
Investment adviser representative
Status
Approved
Texas30 January 2019
Scope
Investment adviser representative
Status
Approved, resident

Examinations

Series 659 February 2010
Name
Uniform Investment Adviser Law Examination
Series 632 April 2001
Name
Uniform Securities Agent State Law Examination
Series 2430 June 2010
Name
General Securities Principal Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 75 April 2010
Name
General Securities Representative Examination
Series 629 July 2000
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Joseph Patrick Mallee
CRD
4231618
Firm
MML Investors Services, LLC
Registration status
Investment adviser and broker registrations

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Joseph Mallee work?

Joseph Mallee has been Director of MML Investors Services, LLC since February 2025, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 3 September 2026

Is Joseph Mallee a financial advisor?

Yes. Joseph Mallee has a current investment-adviser registration in Pennsylvania and Texas, through MML Investors Services since January 2011, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Joseph Mallee have?

Joseph Mallee has worked in the financial industry for 26 years as of 17 October 2026, counted from 28 August 2000, across 2 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Joseph Mallee passed?

Joseph Mallee has passed 6 licensing exams: the Series 6, Series 63, Series 65, Series 7, Series 24 and SIE. The earliest, the Series 6, was passed in July 2000.

Source: IAPD individual record, checked 17 October 2026

Where did Joseph Mallee work before MML Investors Services?

Before MML Investors Services, Joseph Mallee was registered through Hornor, Townsend & Kent, Inc., February 2010 to January 2011.

Source: IAPD individual record, checked 17 October 2026

Leadership at MML Investors Services

Sources

  1. IAPD individual record, CRD 4231618. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of MML Investors Services, LLC, filed 3 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Joseph Mallee or MML Investors Services, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.