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John Douglas Palic

Mml Investors Services, LLC

Kennett Square, PA

Kennett Square, PA

CRD 6121067

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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
PA RA APPROVED 2019-05-21
  • PA RA
    APPROVED
    Since 2019-05-21

Branch Locations

699 Unionville Road, Kennett Square, PA 19348 • United States

Kennett Square, PA • 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
Northwestern Mutual Investment Services Llc Wilmington DE 09/2012 11/2018
Northwestern Mutual Life Insurance Company Wilmington DE 08/2012 11/2018
Northwestern Mutual Wealth Management Company Milwaukee WI 06/2016 11/2018
Massmutual Kennett Sq PA 11/2018 Present
Mml Investors Services Kennett Sq PA 11/2018 Present
  • 09/2012 → 11/2018
    Northwestern Mutual Investment Services Llc
    Wilmington, DE
  • 08/2012 → 11/2018
    Northwestern Mutual Life Insurance Company
    Wilmington, DE
  • 06/2016 → 11/2018
    Northwestern Mutual Wealth Management Company
    Milwaukee, WI
  • 11/2018 → Present
    Massmutual
    Kennett Sq, PA
  • 11/2018 → Present
    Mml Investors Services
    Kennett Sq, PA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-05-06
S63 Uniform Securities Agent State Law Examination 2013-11-18
  • S65 Uniform Investment Adviser Law Examination
    2019-05-06
  • S63 Uniform Securities Agent State Law Examination
    2013-11-18
Other Names
  • John D Palic

View on SEC IAPD

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