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James Robert Holt

Mml Investors Services, LLC

Indianapolis, IN

CRD 1038929

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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
TX RA APPROVED_RES 2017-05-31
IN RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2017-05-31
  • IN RA
    APPROVED
    Since 2017-03-25

Branch Locations

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
Metlife Securities Inc. Indianapolis IN 03/2002 03/2017
Massachusetts Mutual Life Insurance Company Indianapolis IN 07/2016 Present
Mml Investors Services, Llc Indianapolis IN 03/2017 Present
  • 03/2002 → 03/2017
    Metlife Securities Inc.
    Indianapolis, IN
  • 07/2016 → Present
    Massachusetts Mutual Life Insurance Company
    Indianapolis, IN
  • 03/2017 → Present
    Indianapolis, IN
Previous Registrations
  • 2009-11-19 → 2017-03-25
    Msi Financial Services, Inc.
    Indianapolis, IN
    Indianapolis, IN
  • 1998-11-05 → 2009-11-10
    Msi Financial Services, Inc.
    Indianapolis, IN
Other Businesses

independent insurance agent from business address - 1 hour securities - life accident and health - since 02/2015

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1984-11-02
  • S63 Uniform Securities Agent State Law Examination
    1984-11-02
Other Names
  • James R Holt
  • Jim Holt

View on SEC IAPD

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