Derelle Phillips
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.
Derelle Phillips, who also goes by Derelle Klokkevold, Derelle Krimsky, was a registered financial professional .
Derelle is a previously registered financial professional and started their career in finance in 1982. Derelle had worked at 7 firms and has passed the Series 63, Series 7, Series 6 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2014 - August 13, 2014
MML DISTRIBUTORS, LLC
January 2, 2013 - December 31, 2013
MML DISTRIBUTORS, LLC
January 1, 2009 - January 2, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
August 4, 2000 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
July 22, 1994 - August 2, 1996
JOHN HANCOCK DISTRIBUTORS LLC
May 26, 1993 - July 10, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
August 10, 1987 - November 5, 1993
AMERICAN GENERAL SECURITIES INCORPORATED
November 1, 1982 - August 15, 1987
HORNOR, TOWNSEND & KENT, LLC
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 DISTRIBUTORS, LLC
CRD#: 38030 / SEC#: , 8-48203
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | MEMBER | |
| BAGGETTA, VINCENT COSIMO | CHIEF RISK OFFICER | 2431743 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| MASSMUTUAL HOLDING LLC | MEMBER | |
| PUHALA, JAMES | CHIEF COMPLIANCE OFFICER | 5290483 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| STEELE, DOUGLAS ROBERT | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 5026710 |
Disclosures
| Regulatory Event | 3 |
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.
