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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)43 years in industry

HERBERT KARL DAROFF

Advisor at MML INVESTORS SERVICES, LLC

BOSTON, MA

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Search this name across graphsid dfx:ria:0cf57114-4ec4-37d7-b73a-0dd53790d11e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 5:39 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Feb 23, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MML INVESTORS SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Oct 7, 1982earliest registration or exam on IAPD
Years in industry: 43derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Certified Financial Planner
Exams: S63
First exam: Oct 7, 1982
First registration: Feb 23, 2004
Dual registered: yes, broker-dealer
IAPD individual key: 1043142

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Mar 25, 2017	n/a	yes	BOSTON, MA	Current employment
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jan 2, 2015	Mar 25, 2017	no	WORCESTER, MA\|SOUTHBOROUGH, MA\|WORCESTER, MA\|BOSTON, MA	Previous registration
Mariner	Independent wealth	Jul 27, 2010	Jul 28, 2016	no	OVERLAND PARK,, KS\|Boston, MA	Previous registration
BAYSTATE FINANCIAL PLANNING	n/a	Aug 31, 2004	Jan 29, 2020	no	BOSTON, MA	Previous registration
NEW ENGLAND SECURITIES CORPORATION	Former SEC adviser	Feb 23, 2004	Jan 2, 2015	no	WORCESTER, MA\|WELLESLEY, MA\|BOSTON, MA\|EAST PROVIDENCE, RI\|RIVERSIDE, RI\|BOSTON, MA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
BAYSTATE FINANCIAL PLANNING	Mariner	Jan 29, 2020	Jul 27, 2010	-3,473	Firm change after gap	Other
MSI FINANCIAL SERVICES, INC.	MML INVESTORS SERVICES, LLC	Mar 25, 2017	Mar 25, 2017	0	Bulk transfer	Other
Mariner	MSI FINANCIAL SERVICES, INC.	Jul 28, 2016	Jan 2, 2015	-573	Firm change after gap	Other
NEW ENGLAND SECURITIES CORPORATION	BAYSTATE FINANCIAL PLANNING	Jan 2, 2015	Aug 31, 2004	-3,776	Firm change after gap	Other

Relationships

Registered with (5)

→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: current employment
Mar 25, 2017 to presentfactForm ADV
→ BAYSTATE FINANCIAL PLANNINGRegistered adviserregistration: previous registration
Aug 31, 2004 to Jan 29, 2020factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 2, 2015 to Mar 25, 2017factForm ADV
→ MARINERRegistered adviserregistration: previous registration
Jul 27, 2010 to Jul 28, 2016factForm ADV
→ NEW ENGLAND SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Feb 23, 2004 to Jan 2, 2015factForm ADV

Dated events

No dated event names this entity yet.