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.

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 1, 2004earliest registration or exam on IAPD

Years in industry

21derivedfrom the industry start date

Years at current firm

15derivedfrom the current registration's begin date

Prior firms

2

Current registrations

2

Registered states

2

Exams

S65|S63

First exam

Jan 17, 2005

First registration

Mar 23, 2015

Dual registered

yes, broker-dealer

IAPD individual key

4853891

• Occurred

  Dec 31, 2023
  Advisor changed firm

  James E Thomas left Wienken Advisors, Ltd. for The Appalachian Financial Group (registered 2024-11-21)

  Form ADVobserved 6 days ago

Graph

RIA / Wealth Management

Canonical id

dfx:ria:a73abc5a-ab20-298d-aab0-412fd13a3a40

First observed

Mar 23, 2015

Last observed

Sep 15, 2026 6 days ago

Source families

Federal regulator filings

1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.

Resolution

Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.