James M. Rohman
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.
James Michael Rohman, who also goes by Jim Rohman, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1984. James had worked at 15 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2007 - July 14, 2022
MML INVESTORS SERVICES, LLC
October 6, 2006 - May 16, 2007
VOYA FINANCIAL PARTNERS, LLC
May 9, 2001 - March 16, 2006
IDS LIFE INSURANCE COMPANY
May 9, 2001 - March 16, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
July 9, 1999 - July 16, 1999
NYLIFE SECURITIES LLC
July 9, 1999 - August 25, 1999
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 10, 1998 - October 22, 1998
ESSEX NATIONAL SECURITIES, LLC
November 1, 1996 - December 16, 1997
FIRST UNION CAPITAL MARKETS CORP.
February 21, 1995 - November 5, 1996
CHASE INVESTMENT SERVICES CORP.
August 14, 1992 - March 1, 1995
PRUDENTIAL EQUITY GROUP, LLC
November 28, 1990 - June 15, 1992
CHAPDELAINE CORPORATE SECURITIES & CO
November 20, 1986 - November 15, 1990
GRUNTAL & CO., L.L.C.
January 25, 1985 - August 21, 1985
D. H. BLAIR & CO., INC.
April 16, 1984 - January 25, 1985
SILLS, ZOPPA & ASSOCIATES, INC.
April 2, 1984 - July 20, 1984
J.J. LOWERY & CO
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.
