John D. Koudossou
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.
John Dublasse Koudossou, who also goes by John Dualasse Koudossou, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 13 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 25, 2011 - February 6, 2013
MML INVESTORS SERVICES, LLC
September 17, 2009 - February 9, 2011
NYLIFE SECURITIES LLC
August 1, 2008 - December 19, 2008
NATIONWIDE SECURITIES, LLC
August 1, 2008 - December 19, 2008
NATIONWIDE SECURITIES, LLC
January 23, 2007 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
November 30, 2004 - August 1, 2008
1717 CAPITAL MANAGEMENT COMPANY
January 29, 2004 - August 11, 2004
LH ROSS & COMPANY, INC.
July 12, 2000 - January 30, 2004
CONTINENTAL BROKER-DEALER CORP.
November 1, 1999 - July 6, 2000
GKN SECURITIES CORP.
February 15, 1998 - November 15, 1999
FIRST PROVIDENCE FINANCIAL GROUP, LLC
February 12, 1991 - December 2, 1992
ROBERT TODD FINANCIAL CORP.
October 29, 1987 - June 19, 1992
GLOBAL CAPITAL SECURITIES, INC.
October 8, 1985 - November 16, 1987
O. R. SECURITIES, INC.
January 30, 1985 - October 8, 1985
WZW FINANCIAL SERVICES, INC.
April 27, 1983 - November 28, 1984
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
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.
