Kevin Carl Gutwein

Current Employers

Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2011-05-12
IN	RA	APPROVED	2011-02-15

TX RA
APPROVED

Since 2011-05-12
IN RA
APPROVED

Since 2011-02-15

Branch Locations

8888 Keystone Crossing Suite 1600, Indianapolis, IN 46240 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Massmutual Life Insurance Company	Indianapolis	IN	01/2011	Present
Mml Investors Services, Llc	Indianapolis	IN	01/2011	Present

01/2011 → Present

Massmutual Life Insurance Company

Indianapolis, IN
01/2011 → Present

Mml Investors Services, Llc

Indianapolis, IN

Previous Registrations

2009-09-09 → 2011-02-22

Advantage Investment Management, Llc

West Lafayette, IN
2003-07-21 → 2011-02-11

National Planning Corporation

West Lafayette, IN

Lafayette, IN
2000-05-04 → 2003-07-24

Walnut Street Advisers Inc

Lafayette, IN

Other Businesses

(1) NAME: GUTWEIN HOLDINGS LLC INV REL: Y ADD: 133 N 4TH STREET , LAFAYETTE, IN NATURE: REAL ESTATE POSITION: OWNER START DATE: 02/2005 NO. HR/MO: 4-6 NO. HR/MO DURING SEC TRADING: 0 . (2) NAME: KCG FAMILY LLC INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: RENTAL INCOME POSITION: MANAGING MEMBER START DATE: 11/7/2008 NO. HR/MO: 6 NO. HR/MO DURING SEC TRADING: 1 DESCRIBE DUTIES: ASSESS RE OPPORTUNITIES.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2000-02-29
S63	Uniform Securities Agent State Law Examination	1999-11-16

S65 Uniform Investment Adviser Law Examination

2000-02-29
S63 Uniform Securities Agent State Law Examination

1999-11-16

View on SEC IAPD