MML INVESTORS SERVICES, LLC
Latest filing: Aug 06, 2024 (85 days ago)
AUM
$72,827,710,537
24% change vs. 1 year ago
49% change vs. 3 years ago
142% change vs. 5 years ago
9903% change vs. 10 years ago
Employee Count
7,130
-3% change vs. 1 year ago
-10% change vs. 3 years ago
-9% change vs. 5 years ago
61% change vs. 10 years ago
Main Office
SPRINGFIELD, MA
1295 STATE STREET, SPRINGFIELD, MA, UNITED STATES, 01111-0001
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $41.8 |
| Non-Discretionary | $31.0 |
| Total | $72.8 |
| Client | AUM |
|---|---|
| Retail | $70.5 |
| Pooled | $0.0 |
| Institutional | $2.4 |
| Total | $72.8 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 346,487 | $67.8 |
| Average Individual AUM | $195,679 | |
| HNW | 393 | $2.7 |
| Average HNW AUM | $6,786,751 | |
| Retail Total | 346,880 | $70.5 |
| Average Retail AUM | $203,146 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| NATIONAL FINANCIAL SERVICES LLC | BOSTON-MA-USA | $22.9 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $72.8 |
| Retail SMA AUM | $70.5 |
| Institutional SMA AUM | $2.4 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 18% | $13.1 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 1% | $0.7 |
| Municipal | 2% | $1.5 |
| Sovereign | 0% | $0.0 |
| IG Credit | 1% | $0.7 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 75% | $54.6 |
| Other Pools | 0% | $0.0 |
| Cash | 3% | $2.2 |
| Other | 0% | $0.0 |
| Total | 100% | $72.8 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| BARINGS LLC | $307.7 | 106006 | |
| FLOURISH FINANCIAL LLC | $0.0 | broker-dealer | 293019 |
| MML INVESTMENT ADVISERS, LLC | $0.0 | - | |
| MML INSURANCE AGENCY, LLC | $0.0 | - | |
| HAVEN LIFE INSURANCE AGENCY, LLC | $0.0 | - | |
| MASSMUTUAL ASIA LIMITED | $0.0 | - | |
| MML DISTRIBUTORS, LLC | $0.0 | broker-dealer | 38030 |
| MML STRATEGIC DISTRIBUTORS, LLC | $0.0 | broker-dealer | 168638 |
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | $0.0 | - | |
| BARINGS (U.K.) LIMITED | $0.0 | 158277 | |
| MASSMUTUAL TRUST COMPANY, FSB | $0.0 | trust company | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
14 active
| Name | Title |
|---|---|
| VACCARO, JOHN ARTHUR | CEO, CHAIRMAN OF THE BOARD |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER |
| HOLTZER, DAVID MICHAEL | FIELD RISK OFFICER |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER |
| WILKINSON, MARY BEA | VICE PRESIDENT |
| CRADDOCK, GEOFFREY | DIRECTOR |
| NEWTH, SEAN PATRICK | DIRECTOR |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER |
| BOWMAN, VAUGHN CHARLES | PRESIDENT AND DIRECTOR |
| LAPIANA, PAUL ANTHONY | DIRECTOR |
ADVDB.CO • SOURCE: SEC
Representatives
4,638 active representatives found, showing 20 random
| Name | City | State | Exams | Designations | |||||
|---|---|---|---|---|---|---|---|---|---|
| PHILIP KAPLAN | SPRINGFIELD | MA | S63|1992-12-28 | ||||||
| JEFFREY DICKINSON | SPRINGFIELD | MA | S63|1998-08-03|S65|2002-11-25 | CERTIFIED FINANCIAL PLANNER | |||||
| NORMAN JONES | SPRINGFIELD | MA | S63|2013-04-25|S65|2018-03-30 | CHARTERED FINANCIAL CONSULTANT | |||||
| RICHARD DIPASQUALE | SPRINGFIELD | MA | S63|1992-10-06 | CHARTERED FINANCIAL CONSULTANT | |||||
| MARK LOFTIS | SPRINGFIELD | MA | S63|1995-10-04 | CERTIFIED FINANCIAL PLANNER|CHARTERED FINANCIAL CONSULTANT | |||||
| JOY CHIU | SPRINGFIELD | MA | S63|1998-08-28|S66|2002-08-19 | ||||||
| JAMES SUGDEN | SPRINGFIELD | MA | S63|2004-01-08|S65|2004-12-06 | ||||||
| JOHN ANNAS | SPRINGFIELD | MA | S66|2021-07-19 | ||||||
| DEREK HAPPY | SPRINGFIELD | MA | S63|2009-06-29|S65|2016-06-19 | ||||||
| TYLER JORDAN | SPRINGFIELD | MA | S66|2022-04-01 | ||||||
| SHON MCLAIN | SPRINGFIELD | MA | S63|2000-04-03 | ||||||
| ANN LANG | SPRINGFIELD | MA | S63|1985-04-24|S65|1999-07-30 | ||||||
| ANDREW ROSELLI | SPRINGFIELD | MA | S66|2006-05-18 | ||||||
| ALEXANDER ALFANO | SPRINGFIELD | MA | S63|1990-11-15|S66|2002-10-19 | ||||||
| LISA FRANKOVICH | SPRINGFIELD | MA | S66|2008-08-12 | ||||||
| NICHOLAS CACACE | SPRINGFIELD | MA | S63|2005-11-08 | ||||||
| WILLIAM BURGER | SPRINGFIELD | MA | S66|2023-06-24 | ||||||
| JAMES CHAVEZ | SPRINGFIELD | MA | S63|2014-05-07|S65|2019-11-04 | ||||||
| GERALD RADICAN | SPRINGFIELD | MA | S63|1993-01-26|S65|1998-09-04 | ||||||
| BENJAMIN MITCHELL | SPRINGFIELD | MA | S63|2008-07-14|S66|2016-08-15 | ||||||
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $72.8 | $0.0 | 0% | 7,130 | 0 | 0% |
| 2024-04-02 | $72.8 | $0.0 | 0% | 7,130 | 0 | 0% |
| 2023-04-04 | $58.8 | $14.0 | 24% | 7,379 | -249 | -3% |
| 2022-04-01 | $62.9 | $9.9 | 16% | 7,620 | -490 | -6% |
| 2021-04-05 | $49.0 | $23.8 | 49% | 7,955 | -825 | -10% |
| 2020-04-01 | $39.6 | $33.3 | 84% | 7,471 | -341 | -5% |
| 2019-04-01 | $30.1 | $42.7 | 142% | 7,805 | -675 | -9% |
| 2018-04-02 | $28.7 | $44.2 | 154% | 8,095 | -965 | -12% |
| 2017-04-01 | $25.6 | $47.2 | 184% | 9,943 | -2,813 | -28% |
| 2016-04-01 | $0.7 | $72.2 | 10833% | 5,217 | 1,913 | 37% |
| 2015-04-01 | $0.8 | $72.1 | 9399% | 5,196 | 1,934 | 37% |
| 2014-04-01 | $0.7 | $72.1 | 9903% | 4,429 | 2,701 | 61% |
| 2013-04-01 | $0.9 | $71.9 | 8141% | 5,999 | 1,131 | 19% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| MA, AK-02/24/1998, AL-01/25/1994, AR-11/09/1993, AZ-07/15/1999, CA-07/08/1997, CO-01/01/1999, CT-07/01/1997, DC-11/13/1993, DE-07/10/2003, FL-03/25/1991, GA-09/27/1993, HI-07/28/1997, IA-01/01/1999, ID-01/18/1994, IL-12/03/1993, IN-11/08/2000, KS-08/26/1997, KY-10/26/2010, LA-10/11/2001, MD-09/28/1993, ME-09/22/1993, MI-02/18/1998, MN-05/06/1997, MO-04/20/1994, MS-08/15/1997, MT-09/08/1997, NC-10/26/2000, ND-07/15/1999, NE-08/04/1997, NH-09/01/1993, NJ-04/18/1995, NM-11/23/1993, NV-11/23/1993, NY-12/21/1993, OH-04/14/1999, OK-01/01/1998, PA-04/01/2005, PR-02/27/1998, RI-09/07/1993, SC-10/26/2000, SD-10/29/1993, TN-03/11/1998, TX-06/26/1995, UT-09/13/1993, VA-08/15/1994, VT-12/20/1994, WA-12/01/1993, WI-08/23/1994, WV-08/18/1997, WY-07/03/2017 |
| ADVISER ACTIVITIES |
|
FINANCIAL PLANNING PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION EDUCATIONAL WORKSHOPS |
| OTHER ACTIVITIES |
|
BROKER DEALER |
ADVDB.CO • SOURCE: SEC FORM ADV