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Thomas Bauer

Chief Technology Officer at MML Investors Services

Broker registration; no current adviser registrationSEC record checked 18 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 18 October 2026SEC record

Thomas Bauer is Chief Technology Officer of MML Investors Services, LLC, a Springfield investment adviser managing $116B. Thomas Bauer has a current broker registration and no current investment-adviser registration and has passed the Series 7, SIE, Series 24 and Series 99TO.

Role at MML Investors Services

Title on Schedule A
Chief Technology Officer
Control
Thomas Bauer is a control person of MML Investors Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Thomas Bauer has held the filed role since March 2017.

The firm

MML Investors Services, LLC
Springfield, MA

Form ADV filed 3 September 2026

$116B AUM454,836 clients4,961 advisers26 offices

Career on record

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Passed Series 24 · 2021
  3. Passed SIE · 2018
  4. Passed Series 7 · 2011

Registrations and exams

Broker registration; no current adviser registration. Thomas Bauer has passed 4 qualifying exams.

Examinations

Series 243 November 2021
Name
General Securities Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 71 November 2011
Name
General Securities Representative Examination

Individual record

Full name
Thomas K Bauer
CRD
4759472
Firm
MML Investors Services, LLC
Registration status
Broker registration; no current adviser registration

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Thomas Bauer work?

Thomas Bauer has been Chief Technology Officer of MML Investors Services, LLC since March 2017, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 3 September 2026

Does Thomas Bauer have a current investment-adviser registration?

Thomas Bauer has a current broker registration and no current investment-adviser registration, as of 18 October 2026.

Source: IAPD individual record, checked 18 October 2026

What exams has Thomas Bauer passed?

Thomas Bauer has passed 4 licensing exams: the Series 7, SIE, Series 24 and Series 99TO. The earliest, the Series 7, was passed in November 2011.

Source: IAPD individual record, checked 18 October 2026

Leadership at MML Investors Services

Sources

  1. IAPD individual record, CRD 4759472. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of MML Investors Services, LLC, filed 3 September 2026. Title, control and ownership bands.

Retrieved 18 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Thomas Bauer or MML Investors Services, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.