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RIA / WealthAdvisordual registered (broker-dealer)15 years in industry

THOMAS NICHOLAS SMITH

Advisor at MML INVESTORS SERVICES, LLC

Valdosta, GA

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Search this name across graphsid dfx:ria:af72b2f5-4edb-0636-3c34-ad984143daba

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 3:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 1
On other graphs: 0
Observed: Feb 9, 2011 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: Feb 4, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Feb 4, 2011
First registration: Feb 9, 2011
Dual registered: yes, broker-dealer
IAPD individual key: 5869595

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	Sep 19, 2025	n/a	yes	Valdosta, GA	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jun 4, 2021	Sep 11, 2025	no	VALDOSTA, GA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Apr 22, 2020	Mar 10, 2021	no	VALDOSTA, GA	Previous registration
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	May 18, 2017	Feb 10, 2020	no	VALDOSTA, GA	Previous registration
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Mar 19, 2013	Jun 9, 2016	no	MACON, GA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 9, 2011	Mar 5, 2013	no	VALDOSTA, GA	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
LPL FINANCIAL LLC	MML INVESTORS SERVICES, LLC	Sep 11, 2025	Sep 19, 2025	8	Firm change	Ibd to ibd
MML INVESTORS SERVICES, LLC	LPL FINANCIAL LLC	Mar 10, 2021	Jun 4, 2021	86	Firm change	Ibd to ibd
VALIC FINANCIAL ADVISORS, INC.	MML INVESTORS SERVICES, LLC	Jun 9, 2016	May 18, 2017	343	Firm change	Other
WELLS FARGO ADVISORS	VALIC FINANCIAL ADVISORS, INC.	Mar 5, 2013	Mar 19, 2013	14	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
6413:10409:GA:2025-09-03	Sep 11, 2025	Sep 19, 2025	VALDOSTA, GA	Firm change

Relationships

Registered with (4)

→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: previous registration
Apr 22, 2020 to Mar 10, 2021factForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jun 4, 2021 to Sep 11, 2025factForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Mar 19, 2013 to Jun 9, 2016factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 9, 2011 to Mar 5, 2013factForm ADV

Dated events

Occurred
Sep 11, 2025
Advisor changed firm
Thomas Nicholas Smith left Lpl Financial Llc for Mml Investors Services, Llc (registered 2025-09-19)
Form ADVobserved 6 days ago