Gary E. Evans
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.
Gary Earl Evans, who also goes by Gary E Evans, was a registered financial advisor .
Gary is a previously registered financial advisor and started their career in finance in 1983. Gary had worked at 9 firms and has passed the Series 65, Series 63, Series 3, Series 31, Series 7, Series 22, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 20, 2006 - July 27, 2009
MML INVESTORS SERVICES, LLC
August 26, 2006 - July 27, 2009
MML INVESTORS SERVICES, LLC
January 31, 2006 - February 22, 2006
PURSHE KAPLAN STERLING INVESTMENTS
June 4, 2004 - August 24, 2006
WEALTH MANAGEMENT GROUP
July 1, 2003 - December 31, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 2003 - December 31, 2003
WELLS FARGO CLEARING SERVICES, LLC
July 1, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
July 1, 1998 - July 1, 2003
PRUDENTIAL EQUITY GROUP, LLC
April 20, 1994 - June 30, 1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 15, 1985 - June 12, 1987
USA FINANCIAL EQUITIES, INC.
December 19, 1984 - January 10, 1985
LEMOT, INC.
July 11, 1983 - January 14, 1985
PREFERRED PROPERTIES INVESTMENT CORP.
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.
