Andre Mitchell

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CRD#: 2145891

Professional summary

Andre Mitchell was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Andre is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, Andre had worked at 8 firms, which includes MML INVESTORS SERVICES LLC, MSI FINANCIAL SERVICES INC., 1717 CAPITAL MANAGEMENT COMPANY, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, LT LAWRENCE & CO. INC., SUPPES SECURITIES INC., CHATFIELD DEAN & CO. INC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

April 18, 2013 - March 28, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

TARRYTOWN, NY

Past

August 4, 2008 - December 21, 2012

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

WHITE PLAINS, NY

Past

January 28, 2002 - March 30, 2007

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

TARRYTOWN, NY

Past

June 8, 1998 - August 18, 1998

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 8, 1998 - August 18, 1998

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 15, 1998 - March 12, 1998

LT LAWRENCE & CO., INC.

CRD#: 31956

NEW YORK, NY

Past

January 25, 1993 - March 24, 1993

SUPPES SECURITIES, INC.

CRD#: 13722

NYC, NY

Past

September 29, 1992 - December 11, 1992

CHATFIELD DEAN & CO., INC.

CRD#: 14714

GREENWOOD VILLAGE, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MML INVESTORS SERVICES, LLC

CRD#: 10409 / SEC#: 801-44264, 8-27250

RIA

Registered Investment Advisory firm - SEC (7/13/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 3/14/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/25/2002

General Securities Representative Examination

Current Firm

MML INVESTORS SERVICES, LLC

CRD#: 10409 / SEC#: 801-44264, 8-27250

RIA

Registered Investment Advisory firm - SEC (7/13/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

1295 State Street, Springfield, MA 01111-0001

Mailing Address

1295 State Street, Springfield, MA 01111-0001

Phone number

(413) 737-8400

Established

Massachusetts since 01/01/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

7,056

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A APPENDIX 1 OF FORM ADV - ADVISOR SELECT (12/22/2025)

PART 2A APPENDIX 1 OF FORM ADV - UMA SELECT PREMIER AND UMA SELECT PREMIER MF ONLY (12/22/2025)

PART 2 A APPENDIX 1 OF FORM ADV - SMA SELECT (12/22/2025)

PART 2A OF FORM ADV (THIRD PARTY PROGRAMS) (11/13/2025)

PART 2A APPENDIX 1 OF FORM ADV - STRATEGIST SELECT AND STRATEGIST SELECT MF ONLY (10/6/2025)

VALIANCE INVESTMENT PROGRAMS (10/6/2025)

PART 2A BROCHURE MASSMUTUAL PLAN FIDUCIARY SERVICES PROGRAM (10/6/2025)

FORM ADV PART 2A FOR MML PLAN SOLUTIONS (10/6/2025)

PORTFOLIO SOLUTIONS PROGRAMS WRAP FEE BROCHURE (10/6/2025)

WMS ORION DISCLOSURE BROCHURE (10/6/2025)

WMS ADVISORY ANNUITIES DISCLOSURE BROCHURE (7/1/2025)

PART 2A OF FORM ADV (BAYSTATE AND NEWSQUARE) (7/1/2025)

FINANCIAL PLANNING SERVICES ADV BROCHURE (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
MASSMUTUAL HOLDING LLC	MEMBER
BAUER, THOMAS K	CHIEF TECHNOLOGY OFFICER	4759472
BOWMAN, VAUGHN CHARLES	CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD	4725044
CRADDOCK, GEOFFREY	DIRECTOR	1444771
DUCH III, EDWARD KARL	CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT	4808341
LAPIANA, PAUL ANTHONY	DIRECTOR	2237245
MALLEE, JOSEPH PATRICK III	DIRECTOR	4231618
MINK, DAVID MYERS	VICE PRESIDENT AND CHIEF OPERATIONS OFFICER	2606831
RANDALL, GEORGE ASHLEY IV	FIELD RISK OFFICER	4881503
REILLY, JENNIFER RHODES	DIRECTOR	3243154
RISPOLI, FRANK JOSEPH	CHIEF FINANCIAL OFFICER AND TREASURER	4364402
ROGERS REID, COURTNEY MCKENZIE	CHIEF COMPLIANCE OFFICER	5374512
VACCARO, JOHN ARTHUR	CHAIRMAN EMERITUS	2264004
WILKINSON, MARY BEA	VICE PRESIDENT	2159909

Regulatory assets under management

Total Number of Accounts	392,820
AUM (Assets Under Management)	$ 90,021,969,258

Disclosures

Regulatory Event	27
Arbitration	1
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/24/2025	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Andre Mitchell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MSI FINANCIAL SERVICES, INC.

1717 CAPITAL MANAGEMENT COMPANY

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

LT LAWRENCE & CO., INC.

SUPPES SECURITIES, INC.

CHATFIELD DEAN & CO., INC.

Primary Firm SEC Registration

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/14/2002

Series 7

Date: 1/25/2002

Current Firm

MML INVESTORS SERVICES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MML INVESTORS SERVICES, LLC

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