Seth William Smith

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

• 07/2012 → Present
  Massmutual Life Insurance Company
  West Barnstable, MA
• 07/2012 → Present
  Mml Investors Services, Llc
  West Barnstable, MA

Previous Registrations

• 2008-08-14 → 2012-06-22
  Mml Investors Services, Llc
  Ft Lauderdale, FL
  Fort Lauderdale, FL
• 2008-03-03 → 2008-06-25
  Ameriprise Financial Services, Llc
  Plantation, FL
• 2007-10-26 → 2007-12-20
  Ameriprise Financial Services, Llc
  Ft Lauderdale, FL
• 2004-12-01 → 2007-10-29
  Girard Securities, Inc.
  Santa Barbara, CA
  Davie, FL
  Santa Barbara, CA

Other Businesses

(1) NAME: PHYSICIANS PLANNING GROUP INV REL: Y ADDR: 10 DESIRES LANE, WEST BARNSTABLE, MA 02668 NATURE: OUTSIDE INSURANCE - LIFE, DISABILITY, FIXED ANNUITIES POSITION: FINANCIAL ADVISOR START: 07/2012 NO HRS/MO: 86 NO HRS/MO DUR TRADING: 60 DUTIES: PROVIDE CLIENTS WITH INVESTMENT INSURANCE AND FINANCIAL PLANNING ADVICE AND SOLUTIONS. (2) NAME: STERLING PHYSICIAN PLANNING INV REL: Y ADDR: 10 DESIRES LANE, WEST BARNSTABLE, MA 02668 NATURE: SALES AND SERVICE OF INSURANCE AND INVESTMENT PRODUCTS & CRIA REP ON COMMISSION/FEE SPLITS WITH OTHER ADVISORS IN DBA: PHYSICIAN PLANNING GROUP POSITION: SALES, AGENT, REGISTERED REPRESENTATIVE START: 07/01/2011 NO HRS/MO: 15 NO HRS/MO DUR TRADING: 15 .

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-11-30
• S63 Uniform Securities Agent State Law Examination
  2004-11-11
• S66 Uniform Combined State Law Examination
  2000-09-07

Other Names

• Seth W Smith