DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Registered advisor

Steve Grossbard

MML Investors Services, LLCBD affiliatedFairfield, Nj dual registrantIAPD 1680256

Feed of 09/15/2026

Also filed as Steven Grossbard

At current firm

4 y

since Jul 8, 2022

In the industry

39 y

since Jun 17, 1987 (earliest exam, job or registration)

Prior registered firms

IAPD previous registrations

State registrations

current, as an IAR

Firms today

current registrations

Exams

S63, S65

IA exams only

Book size

not public

not estimated here

Signals

dated events on this person

Registration history

IAPD current and previous registrations

MML Investors Services, LLC BD affiliated current
since Jul 8, 2022 · Fairfield, Nj
Pruco Securities, LLC no RAUM
Sep 23, 2020 to Jul 11, 2022 · Basking Ridge, Nj
First Allied Advisory Services, Inc. former
Dec 13, 2013 to Sep 18, 2020 · San Diego, Ca
Ic Advisory Services, Inc. former
Oct 25, 2010 to Dec 13, 2013 · Roseland, Nj
Osaic Wealth, Inc. BD affiliated
Aug 11, 2006 to Oct 28, 2010 · Verona, Nj

Moves

a registration end followed by a registration begin elsewhere

Pruco Securities, LLC to MML Investors Services, LLC
left Jul 11, 2022, registered Jul 8, 2022 (-3 days) · Affiliated broker-dealer or bank to another
First Allied Advisory Services, Inc. to Pruco Securities, LLC
left Sep 18, 2020, registered Sep 23, 2020 (5 days) · Affiliated broker-dealer or bank to another
Ic Advisory Services, Inc. to First Allied Advisory Services, Inc.
left Dec 13, 2013, registered Dec 13, 2013 (0 days) · Other
Osaic Wealth, Inc. to Ic Advisory Services, Inc.
left Oct 28, 2010, registered Oct 25, 2010 (-3 days) · Other

Signals

Steve Grossbard left Pruco Securities, Llc for Mml Investors Services, Llc (registered 2022-07-08)
Jul 11, 2022 · Advisor changed firm · fact

Transition signals

Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.

Provenance

Source: IAPD individual compilation feedreportedadviserinfo.sec.gov
Firm class: Broker-dealer affiliated wealth managerderived
Years in industry: 39derivedfrom the earliest dated exam, employment or registration
Not published: disclosure flags, outside business text, branch street address