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 |
|---|---|---|---|---|---|---|---|---|
| Travis James Caruso | 5215091 | 7 | 06/29/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Jose Nino Huerta | 6681592 | 1 | 06/28/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Cheryl Anne Smith | 5903224 | 5 | 06/22/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kael Alexander Cheatham | 6994711 | 2 | 06/15/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| Timothy David Tanner | 2499960 | 3 | 06/14/2021 | Regulatory | Final | $0.00 | $0.00 | See FINRA Report |
| James Francis Harkins | 1994258 | 1 | 06/10/2021 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Hector Luis Otero-Santos | 5196285 | 1 | 06/08/2021 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Nicolas Williams | 5795520 | 1 | 06/07/2021 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Joshua Ryan Plank | 3262187 | 2 | 06/07/2021 | Customer Dispute | Denied | $100,000.00 | $0.00 | See FINRA Report |
| Evan Samuel Silverstein | 4724661 | 2 | 06/07/2021 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |