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 |
|---|---|---|---|---|---|---|---|---|
| Jarad Thomas Plummer | 5782125 | 1 | 09/26/2022 | Investigation | $0.00 | $0.00 | See FINRA Report | |
| William Owens Ahonen | 1349069 | 1 | 09/25/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Thomas Patrick Zanovich | 3176888 | 2 | 09/22/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Rodd Shannon McMinn | 2340048 | 2 | 09/22/2022 | Customer Dispute | Denied | $107,770.00 | $0.00 | See FINRA Report |
| India Elliott | 6469365 | 1 | 09/22/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| John D Richardson | 4914865 | 1 | 09/18/2022 | Customer Dispute | Denied | $0.00 | $0.00 | See FINRA Report |
| Bradley P Smith | 6168881 | 1 | 09/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Richard Patrick Hagan | 2392157 | 8 | 09/07/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report | |
| Brady Edward Allen Lucyk | 6437162 | 1 | 08/24/2022 | Financial | Final | $0.00 | $0.00 | See FINRA Report |
| Kenneth J Conway | 2304235 | 2 | 08/03/2022 | Judgment / Lien | $0.00 | $0.00 | See FINRA Report |