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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 2025-04-09
  • IN RA
    APPROVED
    Since 2025-04-09

Branch Locations

Kendallville, 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
Lincoln Financial Distributors Fort Wayne IN 10/2015 12/2017
Lincoln Financial Group Fort Wayne IN 05/2015 12/2017
Lincoln Financial Advisors, Inc Kendalville IN 12/2017 09/2024
Lincoln Financial Distributors, Inc. Fort Wayne IN 05/2024 09/2024
Massmutual Life Insurance Company Indianapolis IN 09/2024 Present
Mml Investors Services Llc Indianapolis IN 10/2024 Present
  • 10/2015 → 12/2017
    Lincoln Financial Distributors
    Fort Wayne, IN
  • 05/2015 → 12/2017
    Lincoln Financial Group
    Fort Wayne, IN
  • 12/2017 → 09/2024
    Lincoln Financial Advisors, Inc
    Kendalville, IN
  • 05/2024 → 09/2024
    Lincoln Financial Distributors, Inc.
    Fort Wayne, IN
  • 09/2024 → Present
    Massmutual Life Insurance Company
    Indianapolis, IN
  • 10/2024 → Present
    Indianapolis, IN
Other Businesses

NAME: JJ'S ROOFING AND REMODEL LLC INV REL: Y ADD: RESIDENTIAL NATURE: ASSIST WITH KEEPING BOOKS AND PAYING CONTRACTORS POSITION: BOOKKEEPER START DATE: 10/01/2019 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 0 DUTIES: ASSIST WITH KEEPING ACCOUNTS PAID AND PAYING INDEPENDENT CONTRACTORS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-04-07
S63 Uniform Securities Agent State Law Examination 2018-02-02
  • S65 Uniform Investment Adviser Law Examination
    2025-04-07
  • S63 Uniform Securities Agent State Law Examination
    2018-02-02
Other Names
  • Ashley Nicole Miller

View on SEC IAPD

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