AdvisorRanked
60
Multiple Red Flags

MML INVESTORS SERVICES, LLC

1295 STATE STREET, SPRINGFIELD, MA 01111-0001
commissionSEC Registered
(413) 226-0000 HTTPS://WWW.FACEBOOK.COM/INGOODCOMPANYMASSMUTUAL CRD #10409
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$115.6B
Assets Managed
4,961
Clients
6976
Employees
33
Years Active
since 1993

Compensation Model

% of Assets (AUM)
Hourly Fees
Fixed / Flat Fees
Commissions
Performance Fees

Compensation type disclosed on SEC Form ADV Item 5C. Filed 46147. Specific fee percentages are available in this firm's Form ADV Part 2A brochure at adviserinfo.sec.gov.

Conflict of Interest Analysis

Broker-Dealer Affiliated: Yes

This firm is affiliated with a broker-dealer, which means they may earn commissions on product sales — creating a potential conflict between their revenue and your best interest.

Insurance Licensed: No

Not insurance licensed. Cannot sell you annuity or insurance products directly.

Custody of Client Assets: Yes

This firm has direct custody of client assets, rather than using an independent custodian. This is a higher-risk arrangement that requires additional regulatory safeguards.

Proprietary Products: No

Uses only third-party investment products. No proprietary product conflicts.

Regulatory & Disciplinary History

complaint46147

8 customer complaint(s)/arbitration(s) disclosed on Form ADV Item 11.

Resolved

Total complaints on record: 8

Complaint ratio: 0.16 per 100 clients

Industry average is approximately 0.15 complaints per 100 clients. A ratio above 0.30 is considered elevated.

Firm Details

Legal NameMML INVESTORS SERVICES, LLC
CRD Number#10409
SEC RegisteredYes
Registration Date1993-07-13
States RegisteredMA
Assets Under Management$115.6B
Number of Clients4,961
Employees6976
Compensation Typecommission
Last ADV Filing46147

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Frequently Asked Questions

Is MML INVESTORS SERVICES, LLC a fiduciary?

No. MML INVESTORS SERVICES, LLC is not registered as an RIA and is not legally bound by the fiduciary standard.

How does MML INVESTORS SERVICES, LLC charge clients?

MML INVESTORS SERVICES, LLC uses a commission compensation model. They also earn commissions on product sales, which may create conflicts of interest. Full fee details are in their Form ADV Part 2A brochure at adviserinfo.sec.gov.

Does MML INVESTORS SERVICES, LLC have any complaints?

Yes. MML INVESTORS SERVICES, LLC has 8 complaint(s) on record. Their complaint ratio is 0.16 per 100 clients (industry average: ~0.15).

How does MML INVESTORS SERVICES, LLC compare to other advisors in SPRINGFIELD?

MML INVESTORS SERVICES, LLC has a Red Flag Score of 60/100. There are 4 registered advisory firms in SPRINGFIELD. Use our city page to compare firms side by side.

Where does this data come from?

All information is sourced from SEC Form ADV public filings (mandatory regulatory disclosures) and FINRA BrokerCheck records. Last updated: 2026-06-24. We do not accept payment from financial advisors.

Data source: SEC Form ADV (Parts 1 and 2A) filed with the Investment Adviser Registration Depository (IARD). Filing date: 46147. Last data refresh: 2026-06-24. AdvisorRanked does not verify the accuracy of SEC filings. This is not financial advice.