Herbert
Spaugh

Mml Investors Services, LLC

CRD#431491
Investment Advisor
in Charlotte, NC
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About this Advisor

Herbert Spaugh is an advisor in Charlotte, North Carolina. Currently a registered financial advisor at Mml Investors Services, LLC, they have accrued a notable 49 years of experience as a registered advisor. Spaugh has a Series 63 license, designating the advisor as a securities agent. Spaugh is able to act as a financial advisor based out of North Carolina. Their career trajectory has included roles at Mml Investors Services, Inc and Connecticut Mutual Finance. Mml Investors Services, LLC is headquartered in Charlotte, North Carolina, and has 1,335 additional offices across the nation. In aggregate, Mml Investors Services, LLC manages $29 billion in assets throughout 238,365 client accounts and retains more than 8,095 people. The level of assets currently under the firm's management places it among the largest firms in the nation. The firm manages 50,683 accounts on a discretionary basis, meaning the advisor makes all of the buying and selling decisions on the client's behalf. None of the firm's 238,365 clients are considered high-net-worth individuals, who are defined as investors who have more than $1 million in assets. Mml Investors Services, LLC can provide financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, educational seminars and other services. The firm's fees may include asset-based, hourly, fixed and other fees.

Certifications and Registrations

Series 63, Chartered Financial Consultant

Years of Experience

49 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Educational seminars/workshops, Other

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Others

Disclosures

No

Office Location

4350 Congress Street Suite 300
Charlotte, NC 28209

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Mml Investors Services, LLC Brokerage Details

Total Assets Under Management

$30,087,392,846

NC Average: $16,012,751,954
Total Number of Employees

7,805

NC Average: 118
Total Number of Accounts

185,684

NC Average: 4,567
Average Account Size

$162,035

NC Average: $3,506,186

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Educational seminars/workshops
  • Other

Herbert Spaugh Work History

Herbert has 49 years of experience.

1996 - Present (23 years)

Mml Investors Services, Inc

1969 - Present (50 years)

Connecticut Mutual Finance

Disclosures

Herbert Spaugh has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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