MML INVESTMENT ADVISERS, LLC of SPRINGFIELD, MA is an SEC-registered investment adviser (CRD 169568). Regulatory assets under management: $24.5B.
Compensation: % of AUM, Other.
Clients served: Charities.
Showing 25 of 26 people.
| Name | Role | Location |
|---|---|---|
| Philip Smith Wellman | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | — |
| Paul Anthony Lapiana | DIRECTOR | — |
| Frank Joseph Rispoli | CHIEF FINANCIAL OFFICER AND TREASURER | — |
| Jennifer Rhodes Reilly | DIRECTOR | — |
| Douglas Robert Steele | PRESIDENT; PRESIDENT AND DIRECTOR | — |
| Patrice Mcguire Sabach | DIRECTOR | — |
| Patrice Sabach | DIRECTOR | — |
| WILSON ARLENE MARIE | PRESIDENT; VICE PRESIDENT | — |
| CONNELLY JOSEPH MICHAEL | CHIEF FINANCIAL OFFICER AND TREASURER | — |
| ROLLINGS MICHAEL THOMAS | DIRECTOR | — |
| FANNING MICHAEL ROBERT | DIRECTOR | — |
| RISPOLI FRANK JOSEPH | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER AND TREASURER | — |
| STEELE DOUGLAS ROBERT | PRESIDENT; VICE PRESIDENT | — |
| SARSYNSKI ELAINE ANNE | DIRECTOR | — |
| WELLMAN PHILIP SMITH | CHIEF COMPLIANCE OFFICER AND VICE PRESIDENT | — |
| CHICARES ELIZABETH WARD | DIRECTOR | — |
| LAPIANA ANTHONY | DIRECTOR; PRESIDENT; PRESIDENT AND DIRECTOR | — |
| CRADDOCK GEOFFREY JAMES | DIRECTOR | — |
| HALL NATHAN | CHIEF FINANCIAL OFFICER | — |
| HASSARA TERESA ANN | DIRECTOR | — |
| WIETSMA ERIC HANS | PRESIDENT AND DIRECTOR; VICE PRESIDENT AND DIRECTOR | — |
| HAENDIGES BRIAN KEITH | VICE PRESIDENT | — |
| NEWTH SEAN PATRICK | DIRECTOR | — |
| ANASTASIO ANDREA LYNN | PRESIDENT; VICE PRESIDENT | — |
| REILLY JENNIFER RHODES | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-03-31 | regulatory | IT WAS ALLEGED THAT MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY'S PRACTICES AND PROCEDURES DID NOT COMPLY WITH THE FOLLOWING 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. §1… | Final | $134K |
| 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 CERTIFICAT… | 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 INSURANCE OF PUERTO RICO ISSUED AN ORDER AGAINST MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY STATING THAT THE COMPANY HAD VIOLATED ARTICLES 11.230 AND 27.160 OF THE PUERTO INSURANCE CODE, 26 LPRA SECTIONS 1123 AND 2716, FOR WHICH AN ADMINISTRATIVE FINE OF $3,00… | Final | $3K |
| 2017-10-03 | regulatory | THE STATE OF CONNECTICUT INSURANCE DEPARTMENT CONDUCTED A MARKET CONDUCT EXAMINATION FOR THE PERIOD JANUARY 1, 2014 THROUGH DECEMBER 31, 2016 OF MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY ("MASSMUTUAL"). MASSMUTUAL IS THE PARENT OF MML INVESTMENT ADVISERS, LLC. AT THE CONCLUSION OF THE EXAMINATION,… | Final | $61K |
| 2013-10-17 | regulatory | HUD ALLEGED THAT MASSMUTUAL FAILED TO SUBMIT (I) AUDITED FINANCIAL STATEMENTS AND SUPPLEMENTARY REPORTS; (II) THE ANNUAL RECERTIFICATION FEE; (III) THE CALL REPORTS; AND (IV) THE ONLINE CERTIFICATION (COLLECTIVELY, THE "ANNUAL RECERTIFICATION REQUIREMENTS") WITHIN 90 DAYS OF THE CLOSE OF ITS FISCAL… | Final | $8K |
| 2012-01-01 | regulatory | THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES ("DFS") COMMENCED AN INVESTIGATION FOR THE PERIOD OF 1/1/2012-5/31/2018. DURING ITS INVESTIGATION, DFS IDENTIFIED A PRACTICE ARISING FROM THE REPLACEMENT OF DEFERRED ANNUITY CONTRACTS WITH IMMEDIATE INCOME ANNUITY CONTRACTS IN VIOLATION OF THE DISC… | Final | $692K |
| City | State | Employees | Phone |
|---|---|---|---|
| BOSTON | MA | 7 | 800-272-2216 |
| BOSTON | MA | 7 | 800-272-2216 |