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James E Thomas

MML Investors Services, LLC

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About James E Thomas

James E. Thomas is a financial advisor with MML Investors Services, LLC, and has been working in the financial industry since 2004. Thomas has a wide range of experience and holds several licenses and certifications, including the Series 6, Series 63, and Series 65 licenses, as well as the Securities Industry Essentials (SIE) exam. Thomas currently holds licenses in 39 states and the District of Columbia. He is also registered as an investment advisor representative (IAR) in Texas.

Firm Information

James Thomas is currently registered with MML Investors Services, LLC. MML Investors Services, LLC is a Limited Liability Company headquartered in Springfield, MA, formed in January 2011. The firm is registered with the SEC and in 53 states. They provide a range of advisory services including financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses and individuals, and asset allocation programs. MML Investors Services, LLC manages over $72 billion in assets for individuals, high-net-worth individuals, corporations, trusts, foundations, charitable organizations, pension plans, and insurance companies.
MML Investors Services, LLC

1295 STATE STREET

SPRINGFIELD, MA 01111-0001

$72.83B

Assets Under Management

Not reported

Total Clients

6,192

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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asset allocation programs

Asset allocation programs

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Solicitors fees

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James Thomas’s Registration & Firm History

PA

10/08/2010 - Present

MML Investors Services, LLC (Mechanicsburg PA)

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Licenses & Designations

IA

Issued 07/06/2005

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 01/17/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/28/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for James E Thomas. Review regulatory record here.
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