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
7,138
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 an affiliated broker-dealer and advisory platform organized as an LLC and registered with the SEC since 1993. The firm serves both individual & family clients and institutional relationships, offering brokerage services alongside financial planning and portfolio management for individuals, small businesses, and larger institutions. Its advisory capabilities extend to pension consulting, selecting third‑party advisers, and running educational seminars and workshops. Fee arrangements reported include percentage of AUM, hourly, fixed fees and other structures. The firm identifies as an active ESG investor and functions more as a distribution and advisory vehicle than as a principal capital allocator.

Assets & Accounts

Public Holdings

Investments & Alternatives

Location & Offices

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Investment profile

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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 165
  • Ami Howes

    Ami Howes

    Chief Operating OfficerCRD 4282471

  • Graham Harvey

    Graham Harvey

    Investment CoordinatorCRD 7063008

  • Drew Gainor

    Drew Gainor

    CEO & Financial AdvisorCRD 5801863

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Contacts

3 of 6973
  • Iris Lavigne

    Iris Lavigne

    Financial AdvisorCRD 2568233

  • Kenneth Heiser

    Kenneth Heiser

    Managing DirectorCRD 2111242

  • John Dewey

    John Dewey

    Registered RepresentativeCRD 4891193

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Wealth teams

FINTRX

Newly hired reps

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Recent M&A activity

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Recent filings

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Awards

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ETF holdings

1 of 1,741

Active vs passive

$29.3B in ETFs

Passive

71%

$20.8B

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