MML Investors Services, LLC

Broker-DealerFINRA MemberEst. 1993
Total AUM
$116B
Discretionary
$70.7B
61% of AUM
Accounts
454,857
Employees
6,976
Advisory reps
7,087
Brokerage reps
6,976

Firm details

Headquarters
SPRINGFIELD, Massachusetts
CRD number
10409
Registered since
July 13, 1993
Website
www.massmutual.com
Custodians
NATIONAL FINANCIAL SERVICES LLC
Fee structure
Percentage of AUM, Hourly Charges, Fixed Fees, Other
Client types
  • Individuals91.47%
  • HNWI5.33%
  • Corporations / Businesses1.62%
  • Pension & Profit Sharing Plans1.24%
  • Charitable Organizations0.27%
Services
Financial PlanningPortfolio Management for IndividualsPortfolio Management for Institutional ClientsPension ConsultingSelection of Other AdvisersEducational Seminars / Workshops

Firm profile

FINTRX

Overview

MML Investors Services, LLC operates as a broker-dealer and advisory firm that serves both individuals/families and institutional clients. The firm is organized as an LLC and has been SEC-registered since 1993. Its advisory services include financial planning, portfolio management for individuals, small businesses and institutions, pension consulting, the selection of outside advisers, and educational seminars and workshops. Compensation approaches reported include percentage-of-AUM fees as well as hourly and fixed-fee arrangements. The firm also identifies as an active ESG investor and lists affiliations across broker-dealer, banking, trust, insurance and other sponsor roles.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

FINTRX

Traditional investments used

Alternative investments used

Active ESG investor

Technology & operations

FINTRX

CRM & tech providers

TAMPs used

Clients

FINTRX

Client base

Client personas

Asset composition

Asset composition: Public Funds/Mutual Funds 73%, Exchange Traded Equities 20%, Cash & Cash Equivalents 3%, US Government Bonds 1%, State & Local Bonds 1%, Investment Grade Corp Bonds 1%73%
  • Public Funds/Mutual Funds73%
  • Exchange Traded Equities20%
  • Cash & Cash Equivalents3%
  • US Government Bonds1%
  • State & Local Bonds1%

Owners & executives

3 of 161

  • AMI HOWES

    Chief Operating OfficerCRD 4282471

  • Graham Harvey

    Investment CoordinatorCRD 7063008

  • DREW GAINOR

    CEO & Financial AdvisorCRD 5801863

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Contacts

3 of 6926

  • IRIS LAVIGNE

    Financial AdvisorCRD 2568233

  • KENNETH HEISER

    Managing DirectorCRD 2111242

  • JOHN DEWEY

    Registered RepresentativeCRD 4891193

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Wealth teams

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Newly hired reps

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Recent M&A activity

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Recent filings

FINTRX

Awards

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ETF holdings

1 of 1,737

Active vs passive

$29.3B in ETFs

Passive

71%

$20.7B

Active

22%

$8.5B

ETFProviderStyleCategoryValueShares% of portfolio
ISHARES CORE S&P 500 ETF (IVV)BlackRockPassiveLarge Blend$1.2B1,822,4214.07%
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Location

Primary office

SPRINGFIELD, MA

HAMPDEN

Location

SPRINGFIELD, MA

Headquartered in SPRINGFIELD, MA, in the Northeast of the United States.

Region
Northeast
County
HAMPDEN
Address
1295 State St
Time zone
ET (UTC-5)
Office locations

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Source: FINTRX private wealth data intelligence

Intelligence for Private Wealth