Karl Frederick Rickel

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
FL	RA	APPROVED	2022-02-17
NY	RA	APPROVED	2021-06-14
CT	RA	APPROVED	2000-02-07

FL RA
APPROVED

Since 2022-02-17
NY RA
APPROVED

Since 2021-06-14
CT RA
APPROVED

Since 2000-02-07

Branch Locations

Brookfield, CT • United States

Bonita Springs, FL • 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 Yes
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
Massmutual Life Insurance Co.	Bonita Springs	FL	02/1977	Present
Mml Investors Services, Inc.	Bonita Springs	FL	04/1985	Present

02/1977 → Present

Massmutual Life Insurance Co.

Bonita Springs, FL
04/1985 → Present

Mml Investors Services, Inc.

Bonita Springs, FL

Other Businesses

(1) NAME: KARL F RICKEL INV REL: Y ADD: 65 GREAT HERON LANE, BROOKFIELD, CT 06804 NATURE: OUTSIDE INSURANCE POSITION: AGENT START DATE: 1990 NO. HR/MO: 2 NO. HR/MO DURING SEC TRADING: 2 DESCRIBE DUTIES: LIFE, GROUP HEALTH & LTC (2) NAME: KARL F RICKEL INV REL: Y ADD: 14511 BELLINO TERRACE UNIT 202 BONITO SPRINGS, FL 34135NATURE: REAL ESTATE POSITION: OWNER START DATE: 2004 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 0

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1999-12-06
S63	Uniform Securities Agent State Law Examination	1992-09-09

S65 Uniform Investment Adviser Law Examination

1999-12-06
S63 Uniform Securities Agent State Law Examination

1992-09-09

Other Names

Karl F Rickel

View on SEC IAPD