Dennis R. Bunting
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Dennis Raymond Bunting was a registered financial professional .
Dennis is a previously registered financial professional and started their career in finance in 1981. Dennis had worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 3, Series 5, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 16, 2014 - November 3, 2014
MML INVESTORS SERVICES, LLC
September 8, 2014 - November 3, 2014
MML INVESTORS SERVICES, LLC
March 13, 2002 - September 11, 2002
GAINEY FINANCIAL SERVICES, INC.
April 24, 2001 - February 1, 2002
BANC ONE SECURITIES CORPORATION
June 24, 1998 - April 9, 2001
GAINEY FINANCIAL SERVICES, INC.
May 7, 1997 - February 23, 1998
SUNAMERICA SECURITIES, INC.
October 25, 1996 - April 2, 1997
PFS INVESTMENTS INC.
April 30, 1996 - July 10, 1996
LAWSON FINANCIAL CORPORATION
March 27, 1996 - May 22, 1996
JOSEPH CHARLES & ASSOC., INC.
February 11, 1988 - January 8, 1991
MONEY MANAGEMENT ADVISORY, INC.
April 4, 1986 - February 6, 1988
E. F. HUTTON & COMPANY INC
September 25, 1985 - April 19, 1986
LPL FINANCIAL LLC
May 26, 1983 - October 4, 1985
E. F. HUTTON & COMPANY INC
May 6, 1982 - February 19, 1983
AMERIPRISE FINANCIAL SERVICES, LLC
October 10, 1981 - March 11, 1982
FORESTERS FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 7/6/1984
Interest Rate Options ExaminationCurrent Firm
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
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 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
