Anthony A. Iannone
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.
Anthony Angelo Iannone, who also goes by Tony Iannone, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1981. Anthony had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 20, 2016 - December 31, 2023
MML INVESTORS SERVICES, LLC
October 9, 2009 - December 16, 2016
MML INVESTORS SERVICES, LLC
July 29, 2009 - December 31, 2023
MML INVESTORS SERVICES, LLC
April 3, 2006 - July 30, 2009
NATIONAL PLANNING CORPORATION
March 31, 2006 - July 30, 2009
NATIONAL PLANNING CORPORATION
January 2, 2001 - April 3, 2006
OSAIC FS, INC.
July 8, 2000 - April 3, 2006
OSAIC FS, INC.
October 8, 1999 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
July 2, 1997 - October 7, 1999
SII INVESTMENTS, INC.
September 19, 1996 - July 2, 1997
SECURITIES AMERICA, INC.
April 6, 1995 - April 4, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
April 6, 1995 - April 4, 1997
SIGNATOR INVESTORS, INC.
October 8, 1992 - April 4, 1995
NATHAN & LEWIS SECURITIES, INC.
October 27, 1989 - November 6, 1992
OSAIC FA, INC.
October 27, 1989 - July 19, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 3, 1986 - November 16, 1989
MML INVESTORS SERVICES, LLC
November 14, 1984 - October 15, 1986
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
December 28, 1981 - May 29, 1984
LINCOLN NATIONAL PENSION INSURANCE COMPANY
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
Current 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.
