Unclaimed Profile

Thomas K Bauer

MML INVESTORS SERVICES, LLC·SPRINGFIELD, Massachusetts

SIE, Series 7, Series 24, Series 99TOClean recordMML INVESTORS SERVICES, LLC

1295 STATE STREET, SPRINGFIELD, MA 01111-0001CRD# 4759472Firm CRD# 10409

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas K Bauer · SPRINGFIELD, MA

Registration

CRD #4759472 · MML INVESTORS SERVICES, LLC

Brand Profile

Not yet started

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Series 24

Series 99TO

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

MML INVESTORS SERVICES, LLC

CRD 10409 · SEC 801-44264

AUM

$72.8B

Regulatory assets under management

Employees

7,130

351,645 client accounts

Services offered by MML INVESTORS SERVICES, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Security ratings or pricing services

Charitable organization or education services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at MML INVESTORS SERVICES, LLC →

Introduction

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Frequently Asked Questions

What services does Thomas K Bauer offer?

Thomas K Bauer specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SPRINGFIELD, Massachusetts for a consultation.

What are Thomas K Bauer's credentials?

Thomas K Bauer is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas K Bauer located?

Thomas K Bauer is based in SPRINGFIELD, Massachusetts, working with MML INVESTORS SERVICES, LLC. Their office serves clients in the SPRINGFIELD metropolitan area and surrounding communities.

How does Thomas K Bauer charge for services?

Thomas K Bauer's firm is compensated through percentage of aum, hourly charges, subscription fees, other: solicitors fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is MML INVESTORS SERVICES, LLC?

MML INVESTORS SERVICES, LLC has approximately 7130 employees and manages $72.8B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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