Kathy N. Novick
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.
Kathy Nan Novick was a registered financial professional .
Kathy is a previously registered financial professional and started their career in finance in 1983. Kathy had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 7, 2016 - October 17, 2016
MML INVESTORS SERVICES, LLC
February 4, 2013 - December 23, 2014
NEW ENGLAND SECURITIES
July 22, 2009 - December 23, 2014
MSI FINANCIAL SERVICES, INC.
April 6, 2004 - May 5, 2008
MURIEL SIEBERT & CO., LLC
October 6, 2003 - May 11, 2004
SUMMIT FINANCIAL GROUP INC
September 12, 2003 - April 12, 2004
SUMMIT BROKERAGE SERVICES, INC.
December 4, 2001 - September 12, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
December 4, 2001 - September 12, 2003
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
September 12, 1994 - December 13, 2001
AMERIPRISE ADVISOR SERVICES, INC.
March 11, 1994 - July 8, 1994
DETWILER FENTON WEALTH MANAGEMENT INC
September 23, 1991 - November 8, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
September 23, 1991 - November 8, 1993
PRUCO SECURITIES, LLC.
September 22, 1989 - December 21, 1989
HORIZONS INTERNATIONAL CORPORATION
October 25, 1988 - July 24, 1989
HUBERMAN SECURITIES CORP.
June 27, 1988 - October 25, 1988
G. K. SCOTT & CO., INC.
February 3, 1988 - June 28, 1988
THOMSON MCKINNON SECURITIES INC.
January 2, 1984 - December 17, 1987
THE STUART-JAMES COMPANY, INCORPORATED
July 20, 1983 - January 9, 1984
BLINDER, ROBINSON & CO., 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.
