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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 2010-10-12
  • IN RA
    APPROVED
    Since 2010-10-12

Branch Locations

8888 Keystone Crossing Suite 1600, Indianapolis, IN 46240 • United States

Indianapolis, IN • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Massmutual Life Insurance Company Indianapolis IN 05/2009 Present
Mml Investors Services, Llc Indianapolis IN 05/2009 Present
  • 05/2009 → Present
    Massmutual Life Insurance Company
    Indianapolis, IN
  • 05/2009 → Present
    Indianapolis, IN
Other Businesses

(1) Name: Big Lion Wealth Management, Inc. Inv rel: Y Addr: 8888 Keystone Crossing Suite 1600, Indianapolis, IN 46240 Nature: Corporation used for business expenses, staff salaries Position: Financial Advisor Start: 10/01/2022 No hrs/mo: 40 No hrs/mo dur trading: 40 Duties: Advise, service and implement insurance and investment products and services. (2) Name: Dance Kaleidoscope Inv Rel: Y Addr: At residential address Nature: Nonprofit Organization Position: Chair - Investment Committee Start Date: 10/01/2023 No. Hr/Mo: 3 No. Hr/Mo During Sec Trading: 3 Duties: Oversee endowment portfolio and ensure it meets goals of investment policy statement, coordinate meetings and report to board and finance committee.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-10-11
S63 Uniform Securities Agent State Law Examination 2009-09-21
  • S65 Uniform Investment Adviser Law Examination
    2010-10-11
  • S63 Uniform Securities Agent State Law Examination
    2009-09-21
Designations
  • Chartered Financial Consultant
Other Names
  • Clinton Michael Gruettert
  • Clinton Gruettert

View on SEC IAPD

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