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Christopher Stockstrom

Mml Investors Services, LLC

Polk City, IA

Springfield, MA

CRD 5407461

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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
IA RA APPROVED 2022-12-19
  • IA RA
    APPROVED
    Since 2022-12-19

Branch Locations

Polk City, IA • United States

1295 State Street, Springfield, MA 01111 • 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
Cetera Advisor Networks Llc El Segundo CA 01/2013 06/2017
Cetera Advisors Llc Denver CO 01/2013 06/2017
Girard Securities, Inc. San Diego CA 07/2015 06/2017
Summit Brokerage Services, Inc. Boca Raton FL 07/2015 06/2017
Principal Life Insurance Des Moines IA 07/2017 12/2022
Principal Securities Des Moines IA 07/2017 12/2022
Massmutual Springfield MA 12/2022 Present
Mml Investors Services, Llc Polk City IA 12/2022 Present
  • 01/2013 → 06/2017
    Cetera Advisor Networks Llc
    El Segundo, CA
  • 01/2013 → 06/2017
    Cetera Advisors Llc
    Denver, CO
  • 07/2015 → 06/2017
    Girard Securities, Inc.
    San Diego, CA
  • 07/2015 → 06/2017
    Summit Brokerage Services, Inc.
    Boca Raton, FL
  • 07/2017 → 12/2022
    Principal Life Insurance
    Des Moines, IA
  • 07/2017 → 12/2022
    Principal Securities
    Des Moines, IA
  • 12/2022 → Present
    Massmutual
    Springfield, MA
  • 12/2022 → Present
    Mml Investors Services, Llc
    Polk City, IA
Previous Registrations
  • 2017-07-24 → 2022-12-15
    Principal Securities, Inc.
    Des Moines, IA
  • 2015-12-22 → 2017-06-27
    Cetera Wealth Services, Llc
    West Des Moines, IA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-12-21
  • S66 Uniform Combined State Law Examination
    2015-12-21
Other Names
  • Chris John Stockstrom
  • Chris Stockstrom
  • Christopher John Stockstrom

View on SEC IAPD

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