Andrew R Roquet

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/1988 → 05/2022
  Cuna Mutual Group
  Middleton, WI
• 08/1998 → 05/2022
  Cuna Brokerage Services, Inc.
  Middleton, WI
• 05/2022 → 08/2023
  Lpl Financial, Llc
  Middleton, WI
• 08/2023 → Present
  Massmutual Life Insurance Co
  Middleton, WI
• 08/2023 → Present
  Mml Investors Services, Llc
  Middleton, WI

Previous Registrations

• 2022-05-18 → 2023-09-08
  Lpl Financial Llc
  Middleton, WI
• 2008-05-30 → 2022-05-18
  Cuna Brokerage Services, Inc.
  Middleton, WI
  Madison, WI
  Madison, WI

Other Businesses

1)Name: Earnest Consulting Group Inv Rel: Y Addr: At Residential Address Nature: Outside Insurance Sales Position: Senior Partner Start: 11/01/2023 No Hrs/Mo: 10 No Hrs/Mo Dur Trading: 10 2)Name: J. Henry & Sons Inv Rel: N Addr: 7794 Patton Road, Dane, WI 53529 Nature: Farming Position: Senior Partner Start: 10/17/2023 No Hrs/Mo: 30 No Hrs/Mo Dur Trading: 5 3) Name: OM Financial Group LLC Inv Rel: Y Addr: 280 Congress St, Suite 1300, Boston MA 02210 Nature: LLC for pass through of advisory compensation Position: Advisor Start Date: 02/16/2024 No Hrs/Mo: 1 No/Hrs Mo dur trading: 1 Describe Duties: No duties or obligations. This is an LLC for advisory compensation.

Exams

• S66 Uniform Combined State Law Examination
  2008-05-28