Our Staff has compiled our research into a database of FINRA Broker Disclosures for MML Investors Services, LLC. Search or filter the database to find more about a specific broker.
Search by Name, CRD, Disclosures, or Damages:
| Name | CRD | Total Disclosures | Filing Date | Disclosure Type | Disclosure Status | Damages Requested | Damages Granted | FINRA Reports |
|---|---|---|---|---|---|---|---|---|
| Katie Ann Hudson | 5508543 | 4 | 06/30/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Aubrey E Vaughn | 1933540 | 1 | 02/07/2020 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gabriel Bustamante | 5264619 | 3 | 10/23/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark Andrew Cramer | 1313587 | 4 | 10/14/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Mark David Wolpert | 2692529 | 7 | 04/11/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| William J Condon | 4750224 | 2 | 02/28/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Raymond Cui | 6285655 | 3 | 02/19/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Gabriel Bustamante | 5264619 | 3 | 01/10/2019 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Bradley Miles Nelligan | 6127301 | 1 | 08/18/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Matthew Stanley Sinclair | 1696664 | 2 | 05/19/2017 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |