MML INVESTORS SERVICES, LLC
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MML INVESTORS SERVICES, LLC
(CRD# 10409)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Springfield, MA.
The SEC approved the firm to operate as an RIA in
Jul 1993.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$30.1 Billion,
with discretion over
48%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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MML INVESTORS SERVICES, LLC
also reported in
Mar 2019
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7805
employees,
with
5269
performing advisory functions.
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A total of 1336 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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MML INVESTORS SERVICES, LLC has one or more disclosure events currently on file with the SEC.
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MML INVESTORS SERVICES, LLC has Notice Filings with the following State Securities Authorities:
AK-Feb 1998, AL-Jan 1994, AR-Nov 1993, AZ-Jul 1999, CA-Jul 1997
, CO-Jan 1999, CT-Jul 1997, DC-Nov 1993, DE-Jul 2003, FL-Mar 1991
, GA-Sep 1993, HI-Jul 1997, IA-Jan 1999, ID-Jan 1994, IL-Dec 1993
, IN-Nov 2000, KS-Aug 1997, KY-Oct 2010, LA-Oct 2001, MD-Sep 1993
, ME-Sep 1993, MI-Feb 1998, MN-May 1997, MO-Apr 1994, MS-Aug 1997
, MT-Sep 1997, NC-Oct 2000, ND-Jul 1999, NE-Aug 1997, NH-Sep 1993
, NJ-Apr 1995, NM-Nov 1993, NV-Nov 1993, NY-Dec 1993, OH-Apr 1999
, OK-Jan 1998, PA-Apr 2005, PR-Feb 1998, RI-Sep 1993, SC-Oct 2000
, SD-Oct 1993, TN-Mar 1998, TX-Jun 1995, UT-Sep 1993, VA-Aug 1994
, VT-Dec 1994, WA-Dec 1993, WI-Aug 1994, WV-Aug 1997, WY-Jul 2017
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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