James Francis Fergola

Mml Investors Services, LLC

CRD 6328141

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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

Authority	Category	Status	Date
NH	RA	APPROVED	2024-08-01

NH RA
APPROVED

Since 2024-08-01

Branch Locations

Amesbury, MA • United States

43 Constitution Drive Suite 201, Bedford, NH 03110 • 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
Signator Investors, Inc.	Portsmouth	NH	05/2014	11/2018
Osaic Wealth, Inc.	Scottsdale	AZ	11/2018	07/2024
Mml Investors Services, Llc	Bedford	NH	07/2024	Present
Massmutual Life Insurance Co	Bedford	NH	07/2024	Present

05/2014 → 11/2018

Signator Investors, Inc.

Portsmouth, NH
11/2018 → 07/2024

Osaic Wealth, Inc.

Scottsdale, AZ
07/2024 → Present

Mml Investors Services, Llc

Bedford, NH
07/2024 → Present

Massmutual Life Insurance Co

Bedford, NH

Previous Registrations

2018-11-02 → 2024-07-12

Osaic Wealth, Inc.

Scottsdale, AZ

Portsmouth, NH

Boston, MA
2017-01-18 → 2018-11-02

Signator Investors, Inc.

Boston, MA

Portsmouth, NH

Boston, MA

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2016-12-22

S66 Uniform Combined State Law Examination

2016-12-22

Other Names

James Francis Fergola

View on SEC IAPD

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