Mml Investors Services, LLC

Registered investment adviser · Springfield, MA · CRD #10409

Form ADV data as of 2026-09-01

Regulatory assets

$115.64 billion

Total accounts

454,857

Employees

6,976

Disclosure events

Firm details

Website: https://www.facebook.com/ingoodcompanymassmutual
Telephone: (413) 226-0000
SEC file number: 801-44264
Most recent Form ADV filing: 2026-07-10
SEC record: View this firm on the SEC's IAPD site

Disciplinary disclosures

This firm reports 7 disclosure questions answered Yes, covering 76 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.

SEC or CFTC found a violation of its regulations or statutes
SEC or CFTC entered an order in connection with investment-related activity
SEC or CFTC imposed a civil money penalty or a cease-and-desist order
Another regulator found a violation of investment-related regulations or statutes
Another regulator entered an order in connection with investment-related activity (past 10 years)
A self-regulatory organization found a violation of its rules
A self-regulatory organization expelled, suspended, barred, or restricted the firm

Assets and accounts

Provides continuous and regular supervisory or management services	Yes
Discretionary regulatory assets under management	$70.67 billion
Non-discretionary regulatory assets under management	$44.96 billion
Total regulatory assets under management	$115.64 billion
Discretionary accounts	229,410
Non-discretionary accounts	225,447
Total accounts	454,857
Regulatory assets under management attributable to non-U.S. persons	$0

People

Total employees (excluding clerical)	6,976
Employees performing investment advisory functions (including research)	4,961
Employees who are registered representatives of a broker-dealer	6,976
Employees registered as investment adviser representatives with a state	5,405
Employees registered as IARs for another investment adviser	20
Employees who are licensed insurance agents	5,494
Firms or persons who solicit advisory clients on the firm's behalf	51

Custody

Has custody of client cash or bank accounts	Yes
Has custody of client securities	Yes
Client funds and securities held in the firm's custody	$107.14 billion
Clients for whom the firm has custody	481,519
A related person has custody of client cash or bank accounts	No
A related person has custody of client securities	No
The firm acts as a qualified custodian	No
A related person acts as a qualified custodian	No
Number of persons acting as qualified custodians for the firm's clients	8

How the firm is compensated

A percentage of assets under managementHourly chargesFixed fees (other than subscription fees)Other

Advisory services offered

Financial planning servicesPortfolio management for individuals and/or small businessesPortfolio management for businesses or institutional clientsPension consulting servicesSelection of other advisers (including private fund managers)Educational seminars/workshopsOther

Other business activities

Broker-dealer (registered or unregistered)

Affiliated related persons

Broker-dealer, municipal securities dealer, or government securities broker or dealerOther investment adviser (including financial planners)Commodity pool operator or commodity trading advisorBanking or thrift institutionTrust companyInsurance company or agencyPension consultantReal estate broker or dealerSponsor or syndicator of limited partnershipsSponsor, general partner, or managing member of pooled investment vehicles

Reported conflicts of interest

Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:

Recommends securities in which it has another proprietary interest
Recommends securities for which it serves as underwriter or general partner
Recommends securities in which it has another sales interest
Recommends brokers or dealers to clients
Compensates a non-employee for client referrals
Receives compensation from others for client referrals

Client types

Type of client	Clients	Assets
Individuals (other than high net worth individuals)	447,952	$105.77 billion
High net worth individuals	885	$6.16 billion
Banking or thrift institutions	12	$91.6 million
Investment companies	1	$85,766
Pension and profit sharing plans (not the participants or government plans)	3,379	$1.44 billion
Charitable organizations	733	$306.7 million
Corporations or other businesses not listed above	1,873	$1.87 billion
Other	1	Not reported