Roger D. Fleming
Professional summary
Roger Dennis Fleming was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Roger is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Roger had worked at 13 firms, which includes MML INVESTORS SERVICES LLC, AMERIPRISE FINANCIAL SERVICES LLC, IDS LIFE INSURANCE COMPANY, WMA SECURITIES INC., OSAIC FS INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, OSAIC FA INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION, INTEGRATED RESOURCES EQUITY CORPORATION, MARINER FINANCIAL SERVICES INC., SUN LIFE FINANCIAL DISTRIBUTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2005 - January 23, 2006
MML INVESTORS SERVICES, LLC
February 26, 2004 - May 12, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
October 13, 1999 - May 12, 2005
IDS LIFE INSURANCE COMPANY
October 13, 1999 - May 12, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
May 15, 1998 - September 22, 1999
WMA SECURITIES, INC.
January 20, 1995 - May 21, 1996
OSAIC FS, INC.
February 26, 1993 - January 26, 1995
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 26, 1993 - January 26, 1995
OSAIC FA, INC.
September 19, 1991 - July 27, 1992
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 19, 1991 - July 27, 1992
EQUITABLE ADVISORS, LLC
April 18, 1990 - April 12, 1991
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
October 21, 1987 - April 25, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
February 28, 1985 - October 23, 1987
MARINER FINANCIAL SERVICES, INC.
March 16, 1983 - March 18, 1985
SUN LIFE FINANCIAL DISTRIBUTORS, 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.
