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Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Mml Investors Services, Llc

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

Current Registrations

AuthorityCategoryStatusDate
IN RA APPROVED 2017-03-25
  • IN RA
    APPROVED
    Since 2017-03-25

Branch Locations

Star City, IN • United States

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

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massachusetts Mutual Life Insurance Company Indianapolis IN 07/2016 Present
Msi Financial Services, Inc. New York NY 01/2016 03/2017
Mml Investors Services, Llc Indianapolis IN 03/2017 Present
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Indianapolis, IN
  • 01/2016 → 03/2017
    Msi Financial Services, Inc.
    New York, NY
  • 03/2017 → Present
    Indianapolis, IN
Previous Registrations
  • 2016-01-07 → 2017-03-25
    Msi Financial Services, Inc.
    Orland Park, IL
    Valparaiso, IN
  • 2006-10-09 → 2015-12-28
    Osaic Fa, Inc.
    Monticello, IN
  • 2006-01-05 → 2006-06-09
    Osaic Fa, Inc.
    Monticello, IN
    Montecello, IN
    Chicago, IL
  • 2003-10-14 → 2005-11-02
    Gurnee, IL
  • 1999-05-03 → 2003-10-03
    Osaic Fa, Inc.
    Chicago, IL
Other Businesses

Notary Public - from residential address - 1 security hours and 0 non security hours- since 01/2016

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-10-05
S63 Uniform Securities Agent State Law Examination 1998-09-21
  • S65 Uniform Investment Adviser Law Examination
    1998-10-05
  • S63 Uniform Securities Agent State Law Examination
    1998-09-21
Designations
  • Certified Financial Planner
Other Names
  • Kelly Ann Tiede
  • Kelly Ann Denham

View on SEC IAPD

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