Frank J. Caolo
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.
Frank J. Caolo, who also goes by Frank J Caolo, Frank Joseph Caolo, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1983. Frank had worked at 20 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
January 8, 2015 - April 7, 2015
MML INVESTORS SERVICES, LLC
October 15, 2012 - March 13, 2013
CASTLEOAK SECURITIES, LP
November 28, 2011 - June 28, 2012
TEJAS SECURITIES GROUP, INC.
March 16, 2009 - November 28, 2011
UBS FINANCIAL SERVICES INC.
March 16, 2009 - November 28, 2011
UBS FINANCIAL SERVICES INC.
October 22, 2008 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 12, 2008 - February 11, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 26, 2008 - August 27, 2008
THRIVENT INVESTMENT MANAGEMENT INC.
November 6, 2007 - June 18, 2008
PRINCIPAL SECURITIES, INC.
March 15, 2006 - July 5, 2007
STERNE, AGEE & LEACH, INC.
September 9, 2004 - August 4, 2005
RYAN BECK & CO.
April 26, 2004 - September 8, 2004
BGC FINANCIAL, L.P.
June 4, 2003 - May 20, 2004
BONDS DIRECT SECURITIES LLC
March 4, 1996 - June 20, 2003
ADVEST, INC.
November 30, 1995 - March 12, 1996
TUCKER ANTHONY INCORPORATED
April 18, 1995 - October 16, 1995
COWEN AND COMPANY
November 28, 1994 - December 30, 1994
BHF SECURITIES CORPORATION
February 2, 1994 - September 27, 1994
GRUNTAL & CO., L.L.C.
February 18, 1992 - January 19, 1994
CIBC WORLD MARKETS CORP.
September 24, 1991 - January 1, 1992
FIRST EMPIRE SECURITIES, INC.
July 25, 1987 - September 28, 1987
THE BROKERAGE CORPORATION OF AMERICA, INC.
May 11, 1984 - February 26, 1985
PRUDENTIAL EQUITY GROUP, LLC
October 31, 1983 - April 29, 1984
UBS FINANCIAL SERVICES INC.
April 19, 1983 - October 21, 1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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.
