James Charles Brocke

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	2010-10-22
IN	RA	APPROVED	2002-02-25

TX RA
APPROVED

Since 2010-10-22
IN RA
APPROVED

Since 2002-02-25

Branch Locations

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

Carmel, 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 No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Mml Investors Services, Llc	Indianapolis	IN	11/1985	Present
James C. Brocke Cfp, Llc	Indianapolis	IN	12/2002	Present

11/1985 → Present

Mml Investors Services, Llc

Indianapolis, IN
12/2002 → Present

James C. Brocke Cfp, Llc

Indianapolis , IN

Previous Registrations

2002-12-16 → 2016-07-21

James C. Brocke Cfp, Llc

Indianapolis, IN
1999-01-14 → 2003-12-19

Mass Financial Group Of Indiana

Indianapolis, IN

Other Businesses

NAME: JAMES BROCKE INV REL: Y ADD: 8888 KEYSTONE CROSSING SUITE 1600 INDIANAPOLIS, IN 46240 NATURE: LIFE AND HEALTH INSURANCE POSITION: SALES, AGENT START DATE: 1995 NO. HR/MO: 0-1 NO. HR/MO DURING SEC TRADING: 0-1 DESCRIBE DUTIES: INSURANCE AGENT

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	1981-12-14

S63 Uniform Securities Agent State Law Examination

1981-12-14

Designations

Certified Financial Planner

View on SEC IAPD