Full text of MML INVESTORS SERVICES, LLC's X-17A-5 filed 2024-02-27 (period 2023-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ Consolidated Statement of Financial Condition As of December 31, 2023 With Report of Independent Registered Public Accounting Firm Thereon This report is filed as a Public document pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934 {1}------------------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ## ANNUAL REPORTS FORM X-17A-5 PART III | OMB APPROVAL | |---------------------------| | OMB Number: 3235-0123 | | Expires: Nov. 30, 2026 | | Estimated average burden | | hours per response:<br>12 | SEC FILE NUMBER 8-27250 FACING PAGE Information Required Pursuant to Rules 17a-5, 17a-12, and 18a-7 under the Securities Exchange Act of 1934 \_AND ENDING December 31, 2023 FILING FOR THE PERIOD BEGINNING \_January 1, 2023 MM/DD/YY MM/DD/YY A. REGISTRANT IDENTIFICATION MML INVESTORS SERVICES, LLC NAME OF FIRM: TYPE OF REGISTRANT (check all applicable boxes): @ Broker-dealer | | Security-based swap dealer | | Major security-based swap participant □ Check here if respondent is also an OTC derivatives dealer ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use a P.O. box no.) 1295 State Street | (No. and Street) | | | | | | |----------------------------------------------|--------------------------------|---------------------------|--|--|--| | Springfield | MA | 01111-0001 | | | | | (City) | (State) | (Zip Code) | | | | | PERSON TO CONTACT WITH REGARD TO THIS FILING | | | | | | | Frank Rispoli | 413-744-5008 | frispoli68@massmutual.com | | | | | (Name) | (Area Code - Telephone Number) | (Email Address) | | | | | | | | | | | #### B. ACCOUNTANT IDENTIFICATION INDEPENDENT PUBLIC ACCOUNTANT whose reports are contained in this filing\* ### KPMG LLP | (Name - if individual, state last, first, and middle name) | | | | | | |------------------------------------------------------------|-----------------------|---------|--------------------------------------------|--|--| | 755 Main Street | Hartford | CT | 06103 | | | | (Address) | (City) | (State) | (Zip Code) | | | | 10-20-2003 | | 185 | | | | | (Date of Registration with PCAOB)(if applicable) | | | (PCAOB Registration Number, if applicable) | | | | | FOR OFFICIAL USE ONLY | | | | | | | | | | | | \* Claims for exemption from the requirement that the annual reports of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis of the exemption. See 17…Read the full text as markdown