Matthew R Liffick

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2019-08-28
IN	RA	APPROVED	2019-08-26

TX RA
APPROVED_RES

Since 2019-08-28
IN RA
APPROVED

Since 2019-08-26

Branch Locations

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

Indianapolis, IN • 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

Organization	City	State	From	To
Brunette And Associates, Llc	Indianapolis	IN	07/2010	08/2019
First Allied Securities, Inc.	Indianapolis	IN	10/2012	08/2019
Massmutual Life Insurance Co	Indianapolis	IN	07/2019	Present
Mml Investors Services, Llc	Indianapolis	IN	08/2019	Present
First Allied Advisory Services, Inc	Indianapolis	IN	09/2013	08/2019

07/2010 → 08/2019

Brunette And Associates, Llc

Indianapolis, IN
10/2012 → 08/2019

First Allied Securities, Inc.

Indianapolis, IN
07/2019 → Present

Massmutual Life Insurance Co

Indianapolis, IN
08/2019 → Present

Mml Investors Services, Llc

Indianapolis, IN
09/2013 → 08/2019

First Allied Advisory Services, Inc

Indianapolis, IN

Previous Registrations

2013-09-09 → 2019-08-05

First Allied Advisory Services, Inc.

San Diego, CA

Indianapolis, IN

Other Businesses

NAME: LIFFICK WEALTH MANAGEMENT INC. INV REL: Y ADD: 8888 KEYSTONE XING, SUITE 1600 INDPLS, IN 46240 NATURE: FOR TAX PURPOSES ONLY; NOT HELD OUT TO CLIENTS POSITION: FINANCIAL ADVISOR/PRESIDENT/CEO START DATE: 01/01/2015 NO. HR/MO: 150 NO. HR/MO DURING SEC TRADING: 30 DUTIES: PROVIDES FINANCIAL SERVICES TO CLIENTS; PROSPECTS FOR NEW CLIENT.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2013-07-30
S63	Uniform Securities Agent State Law Examination	2010-11-22

S66 Uniform Combined State Law Examination

2013-07-30
S63 Uniform Securities Agent State Law Examination

2010-11-22

View on SEC IAPD