Richard J. Mclaughlin
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.
Richard John Mclaughlin, AIF® was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 3 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
February 15, 2019 - May 28, 2025
MML DISTRIBUTORS, LLC
February 6, 2012 - January 2, 2018
VOYA INVESTMENT MANAGEMENT CO. LLC
February 6, 2012 - January 2, 2018
VOYA INVESTMENTS DISTRIBUTOR, LLC
September 21, 2010 - February 7, 2012
MIDAMERICA FINANCIAL SERVICES, INC.
June 7, 2010 - September 7, 2010
LPL FINANCIAL LLC
June 4, 2010 - September 7, 2010
LPL FINANCIAL LLC
November 13, 2008 - May 21, 2010
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
May 14, 2008 - May 21, 2010
COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC.
April 14, 2002 - March 10, 2008
PGIM INVESTMENTS LLC
October 9, 1997 - March 10, 2008
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 11, 1996 - September 30, 1997
COREBRIDGE CAPITAL SERVICES, INC.
March 6, 1991 - December 9, 1996
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
January 4, 1985 - May 9, 1990
SIGNATOR INVESTORS, INC.
December 21, 1982 - December 31, 1984
E. F. HUTTON & COMPANY INC
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
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