MML INVESTORS SERVICES, LLC of SPRINGFIELD, MA is an SEC-registered investment adviser (CRD 10409). Regulatory assets under management: $115.6B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Other.
Clients served: Individuals, High net worth, Pooled vehicles, Pensions, Charities, Other.
Showing 25 of 89 people.
| Name | Role | Location |
|---|---|---|
| Frederick Spencer | CHIEF COMPLIANCE OFFICER | Chicago, IL |
| John Arthur Vaccaro | CHAIRMAN EMERITUS | — |
| Thomas K Bauer | CHIEF TECHNOLOGY OFFICER | — |
| David Myers Mink | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | — |
| Mary Bea Wilkinson | VICE PRESIDENT | — |
| Geoffrey Craddock | DIRECTOR | — |
| Courtney Mckenzie Rogers Reid | CHIEF COMPLIANCE OFFICER | — |
| Edward Karl Duch Iii | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | — |
| Frank Joseph Rispoli | CHIEF FINANCIAL OFFICER AND TREASURER | — |
| Vaughn Charles Bowman | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | — |
| Paul Anthony Lapiana | DIRECTOR | — |
| Jennifer Rhodes Reilly | DIRECTOR | — |
| Joseph Patrick Iii Mallee | DIRECTOR | — |
| George Ashley Iv Randall | FIELD RISK OFFICER | — |
| Williams Michael | DIRECTOR; PRESIDENT AND DIRECTOR | — |
| David Michael Holtzer | FIELD RISK OFFICER | — |
| BENSON WENDY ANN | PRESIDENT AND DIRECTOR | — |
| RICKSON KENNETH MARTIN | CHIEF RISK OFFICER AND DIRECTOR; FIELD RISK OFFICER; FIELD RISK OFFICER AND DIRECTOR (+2 more) | — |
| PUGH BURVIN EDMOND JR | AGENCY FIELD FORCE SUPERVISOR AND DIRECTOR; SENIOR VICE PRESIDENT, AGENCY FIELD FORCE SUPERVISOR AND DIRECTOR; SENIOR VICE PRESIDENT, DIRECTOR AND CHIEF EXECUTIVE OFFICER (+1 more) | — |
| GUNTON HOWARD | DIRECTOR | — |
| WALCOTT EUSTIS | DIRECTOR | — |
| SPONZO MARILYN ANNE | CHIEF COMPLIANCE OFFICER | — |
| MONTI THOMAS ANTHONY | PRESIDENT AND DIRECTOR | — |
| MONROE WILLIAM FRANCIS JR | VICE PRESIDENT, CHIEF OPERATING OFFICER AND REGISTERED OPTIONS PRINCIPAL; VICE PRESIDENT, CHIEF OPERATIONS OFFICER, REGISTERED OPTIONS PRINCIPAL AND SALES AND PRODUCT SUPERVISOR; VICE PRESIDENT FINANCIAL STRATEGY; CHIEF OPERATIONS OFFICER & CHIEF PRIVACY OFFICER (+5 more) | — |
| ROSENTHAL ROBERT STEVEN | CHIEF LEGAL OFFICER; SECOND VICE PRESIDENT; CHIEF LEGAL OFFICER; VICE PRESIDENT, ASSOC. GEN. COUNSEL & SECRETARY | — |
Showing 10 of 28 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-11-19 | regulatory | IT WAS ALLEGED THAT THE SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES OF MML INVESTORS SERVICES, LLC ("MMLIS") WERE NOT REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH MMLIS'S OBLIGATION TO SUPERVISE CONSOLIDATED REPORTS DURING THE PERIOD OF MARCH 2017 THROUGH APRIL 2020. IT WAS ALLEGED THAT… | Final | $700K |
| 2024-10-04 | regulatory | ALLEGATIONS THAT MML INVESTORS SERVICES, LLC ("MMLIS") HAD APPROXIMATELY 516 UNREGISTERED BROKER-DEALER AGENTS WHO WERE ASSIGNED VIRGNIA CLIENT ACCOUNTS AND THE AGENTS WERE NOT REGISTERED WITH THE SECURITIES DIVISION. THE DIVISION ALLEGED THAT THE ACTIONS WERE IN VIOLATION OF §13.1-504B OF THE ACT. | Final | $50K |
| 2024-03-31 | regulatory | IT WAS ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY'S PRACTICES AND PROCEDURES DID NOT COMPLY WITH STATUTORY AND REGULATORY PROVISIONS: 18 DEL ADMIN. C.?1203-4.0 LIFE INSURANCE SOLICITATION DEFINITIONS; 18 DEL. ADMIN C. ?1204-5.2 DUTIES OF AGENTS AND BROKERS; 18 DEL. C. ?1204.7.1 DUTIES… | Final | $134K |
| 2023-09-26 | regulatory | MML INVESTORS SERVICES, LLC ("MMLIS") SELF REPORTED TO THE STATE OF MICHIGAN, CORPORATIONS, SECURITIES & COMMERCIAL LICENSING BUREAU AND THE DIRECTOR OF THE BUREAU, THAT IT DID NOT PROPERLY SUBMIT MATERIALS IN ORDER TO REGISTER AN INDIVIDUAL AS AN INVESTMENT ADVISER REPRESENTATIVE ASSOCIATED WITH MM… | Final | $10K |
| 2023-07-19 | regulatory | MML INVESTORS SERVICES NOTIFIED THE SECURITIES ADMINISTRATOR OF THE ON-SITE INSPECTIONS AND VIRTUAL INSPECTIONS OF ITS MAINE BRANCH OFFICES DURING 2022 AS REQUIRED BY JANUARY 31, 2023. THE SECURITIES ADMINISTRATOR ALLEGED THAT MML INVESTORS SERVICES FAILED TO CONDUCT ON-SITE BRANCH OFFICE INSPECTION… | Final | $3K |
| 2023-05-16 | regulatory | IT WAS ALLEGED THAT MML INVESTORS SERVICES, LLC DID NOT TIMELY AMEND ITS ASSOCIATED PERSONS' FORMS U4 AND FORMS U5 DURING THE PERIOD FROM DECEMBER 2018 THROUGH FEBRUARY 2021 AND THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM DESIGNED TO ENSURE THE TIMELY REPORTING OF DISCLOSABLE… | Final | $250K |
| 2022-08-16 | regulatory | THE COMMONWEALTH OF MASSACHUSETTS SECURITIES DIVISION ALLEGED THAT MML INVESTORS SERVICES, LLC ("MMLIS") FAILED TO REASONABLY SUPERVISE ITS AGENT'S VARIABLE ANNUITY SALES PRACTICES. SPECIFICALLY, THE SECURITIES DIVISION ALLEGED THAT MMLIS FAILED TO ENSURE THAT ITS AGENT PROPERLY INFORM CLIENTS OF TH… | Final | $250K |
| 2022-05-26 | regulatory | MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY MUST CERTIFY ANNUALLY TO THE OFFICE OF THE INSURANCE COMMISSIONER ("OIC") THE INSURANCE PRODUCERS THAT ARE SELLING, SOLICITING OR NEGOTIATING THE COMPANY'S LONG TERM CARE ("LTC") INSURANCE PRODUCTS HAVE COMPLETED LTC EDUCATION REQUIREMENTS. THE CERTIFICATI… | Final | $10K |
| 2022-04-12 | regulatory | IN 2003, THE INSURED PURCHASED A FLEXIBLE PREMIUM ADJUSTABLE LIFE INSURANCE POLICY WITH A FACE AMOUNT OF $500,000. IT WAS ALLEGED THAT MASSMUTUAL RAISED THE PREMIUMS AND CHANGED AND CANCELLED THE POLICY WITHOUT NOTIFYING THE INSURED. THE INSURED FURTHER ALLEGED THAT THE AGENT DID NOT EXPLAIN THAT TH… | Final | $1K |
| 2022-03-17 | regulatory | ON MARCH 17, 2022, THE COMMISSIONER OF PUERTO RICO ISSUED AN ORDER AGAINST MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY STATING THAT THE FIRM HAD VIOLATED ARTICLES 11.230 AND 27.160 OF THE PUERTO RICO INSURANCE CODE, 26 LPRA SECTIONS 1123 AND 2716 FOR WHICH AN ADMINISTRATIVE FINE OF $3,000 WAS IMPOSE… | Final | $3K |
Showing 15 of 25 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| NEWTOWN SQUARE | PA | 170 | 610-325-6100 |
| SHELTON | CT | 124 | 203-513-6000 |
| BOSTON | MA | 100 | 617-585-4500 |
| ELMSFORD | NY | 98 | 914-372-2900 |
| EAST HILLS | NY | 95 | 516-686-7000 |
| BOSTON | MA | 92 | 617-439-4389 |
| NEW YORK | NY | 86 | 212-536-8700 |
| INDIANAPOLIS | IN | 78 | 317-469-9999 |
| AMHERST | NY | 71 | 716-852-1321 |
| WALL TOWNSHIP | NJ | 66 | 732-751-3000 |
| SOUTHFIELD | MI | 66 | 248-357-7600 |
| NEWPORT BEACH | CA | 62 | 949-660-1717 |
| CHESTERFIELD | MO | 61 | 636-728-2400 |
| RADNOR | PA | 59 | 610-766-3000 |
| FT. LAUDERDALE | FL | 58 | 954-938-8800 |