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Investment Adviser Firm Summary

MML INVESTORS SERVICES, LLC (CRD# 10409 / SEC# 8-27250, 801-44264)
Alternate Names: CONCORDE FINANCIAL ADVISORS , HFG ADVISORS , IN GOOD COMPANY , MASSMUTUAL FINANCIAL GROUP , MML INVESTORS SERVICES , MML INVESTORS SERVICES, INC. , MML INVESTORS SERVICES, LLC , MML PLAN SOLUTIONS , THE ESTABLISHMENT , THE ESTABLISHMENT BY BARNUM FINANCIAL GROUP , THE ESTABLISHMENT BY MASSMUTUAL

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 07/13/1993

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/25/1994
Alaska 02/24/1998
Arizona 07/15/1999
Arkansas 11/09/1993
California 07/08/1997
Colorado 01/01/1999
Connecticut 07/01/1997
Delaware 07/10/2003
District of Columbia 11/13/1993
Florida 03/25/1991
Georgia 09/27/1993
Hawaii 07/28/1997
Idaho 01/18/1994
Illinois 12/03/1993
Indiana 11/08/2000
Iowa 01/01/1999
Kansas 08/26/1997
Kentucky 10/26/2010
Louisiana 10/11/2001
Maine 09/22/1993
Maryland 09/28/1993
Michigan 02/18/1998
Minnesota 05/06/1997
Mississippi 08/15/1997
Missouri 04/20/1994
Montana 09/08/1997
Nebraska 08/04/1997
Nevada 11/23/1993
New Hampshire 09/01/1993
New Jersey 04/18/1995
New Mexico 11/23/1993
New York 12/21/1993
North Carolina 10/26/2000
North Dakota 07/15/1999
Ohio 04/14/1999
Oklahoma 01/01/1998
Pennsylvania 04/01/2005
Puerto Rico 02/27/1998
Rhode Island 09/07/1993
South Carolina 10/26/2000
South Dakota 10/29/1993
Tennessee 03/11/1998
Texas 06/26/1995
Utah 09/13/1993
Vermont 12/20/1994
Virginia 08/15/1994
Washington 12/01/1993
West Virginia 08/18/1997
Wisconsin 08/23/1994
Wyoming 07/03/2017

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser