Eric Lee Spindt

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2011 → Present
  Mml Investors Services
  Boston, MA
• 09/2014 → Present
  Massmutual Financial Group
  Boston, MA

Previous Registrations

• 2011-02-09 → 2011-07-11
  Mariner
  Overland Park,, KS

Other Businesses

(1) NAME: BIGGER FUTURES, INV REL: N ADD: 5885 MEADOWS RD STE 850 LAKE OSWEGO OR 01735 NATURE: TRAINING PROGRAM POSITION: CONSULTANT START DATE: 7/14 NO. HR/MO: 0-15 NO. HR/MO DURING SEC TRADING: 0-15 DESCRIBE DUTIES: CONSULTING, TRAINING AND SPEAKING ENGAGEMENTS ON TOPICS RELATED TO THE PACIFIC INSTITUTE, SERVICES ARE PROVIDED SPORADICALLY (2) NAME: ERIC SPINDT, INV REL: Y ADD: 101 FEDERAL STREET-8TH FLOOR BOSTON, MA 02110 NATURE: OUTSIDE INSURANCE POSITION: AGENT START DATE: 3/15/2019 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: LIFE AND HEALTH INSURANCE SALES (3) NAME: LEGACY RACING, INV REL: N ADD: 4830 W. KENNEDY BLVD., SUITE 800, TAMPA BAY, FL 33609 NATURE: BUYING AND SELLING OF RACE HORSES POSITION: LIMITED PARTNER START DATE: 05/11/2022 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 (4) NAME: COMMONWEALTH FINANCIAL GROUP, INV REL: Y ADD: 101 FEDERAL ST., 8TH FLOOR, BOSTON, MA 02110 NATURE: FINANCIAL TECHNOLOGY TOOLS, CONSULTING, AND TRAINING POSITION: CHIEF EXECUTIVE OFFICER START DATE: 12/01/2022 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 5 DESCRIBE DUTIES: LEAD THE DEVELOPMENT, DISTRIBUTION AND SUPPORT OF FINANCIAL TECHNOLOGY (5) NAME: LEGACY RACING INV - KEENLAND LLC, INV REL: N ADD: 4830 W. KENNEDY BLVD., TAMPA BAY, FL 33609 NATURE: BUYING AND SELLING OF RACE HORSES POSITION: LIMITED PARTNER START DATE: 05/02/2023 NO. HR/MO: 0 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: BUYING AND SELLING OF RACE HORSES (6) NAME: FIRMOS, INV REL: Y ADD: 280 CONGRESS ST., SUITE 1300, BOSTON, MA 02210, NATURE: TECHNOLOGY COMPANY, POSITION: CO-FOUNDER, DATE: 01/01/2026, NO. HR/MO: 15, NO. HR/MO DURING SEC TRADING: 10, DESCRIBE DUTIES: OVERSEE BUSINESSS OPERATIONS (7) NAME: FATHER RICK, LLC INV REL: N ADD: 280 CONGRESS ST., SUITE 1300, BOSTON, MA 02210 NATURE: MEMBER OF LLC FOR RACE HORSE OWNERSHIP POSITION: MANAGING MEMBER START DATE: 03/30/2026 NO. HR/MO: 1 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: NO ACTIVE DUTIES

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-02-24
• S63 Uniform Securities Agent State Law Examination
  1998-08-28