Carolyn J. Kasky
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.
Carolyn Jo Kasky, who also goes by Kandy Kasky, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1983. Carolyn had worked at 18 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 15, Series 14, Series 24, Series 28, Series 27 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2018 - January 22, 2019
MML INVESTORS SERVICES, LLC
February 1, 2011 - January 6, 2026
HASI SECURITIES LLC
July 29, 2008 - December 20, 2010
CCF INVESTMENTS, INC.
November 9, 2007 - August 19, 2008
HBW SECURITIES LLC
October 15, 2007 - November 1, 2007
CASH APP INVESTING LLC
February 23, 2007 - October 12, 2007
PARACAP GROUP LLC
January 24, 2007 - October 12, 2007
BOOGIE INVESTMENT GROUP, INC.
May 16, 2006 - September 26, 2006
1964 GLOBAL
February 22, 2006 - November 13, 2007
ENERGY HUNTER SECURITIES, INC.
February 3, 2006 - October 12, 2007
MIDPOINT FINANCIAL SERVICES, INC.
December 21, 2005 - October 26, 2007
CCF INVESTMENTS, INC.
June 29, 2005 - November 12, 2007
MCMG CAPITAL ADVISORS, INC.
December 16, 1999 - June 13, 2000
SLOAN SECURITIES CORP.
June 1, 1999 - June 13, 2000
AK CAPITAL LLC
May 20, 1999 - June 13, 2000
BRUNSWICK EMERGING MARKETS USA, INC.
April 21, 1999 - June 13, 2000
WINDSOR IBC, INC.
April 24, 1987 - March 23, 1998
NF CLEARING, INC.
April 2, 1985 - April 27, 1987
FIRST UNION BROKERAGE SERVICES, INC.
September 27, 1983 - February 8, 1985
QUICK & REILLY, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 15
Date: 1/27/1989
Foreign Currency Options ExaminationSeries 28
Date: 11/15/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent 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 |
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.
