Marcia L. Gilliam
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.
Marcia Lyn Gilliam, who also goes by Minyo Gilliam, was a registered financial professional .
Marcia is a previously registered financial professional and started their career in finance in 1984. Marcia had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2017 - May 19, 2017
MML INVESTORS SERVICES, LLC
March 25, 2017 - May 19, 2017
MML INVESTORS SERVICES, LLC
April 12, 2011 - September 5, 2013
WALNUT STREET SECURITIES, INC.
April 12, 2011 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
April 12, 2011 - January 2, 2015
NEW ENGLAND SECURITIES
April 12, 2011 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
March 25, 2011 - September 5, 2013
WALNUT STREET SECURITIES, INC.
March 25, 2011 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
March 25, 2011 - January 2, 2015
NEW ENGLAND SECURITIES
March 25, 2011 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
April 5, 2004 - March 26, 2010
MSI FINANCIAL SERVICES, INC.
October 28, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 28, 2003 - March 26, 2010
MSI FINANCIAL SERVICES, INC.
April 16, 2001 - September 9, 2003
CETERA INVESTMENT SERVICES LLC
March 22, 2001 - September 9, 2003
CETERA INVESTMENT SERVICES LLC
September 3, 1999 - March 22, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 4, 1984 - September 7, 1999
FORESTERS FINANCIAL SERVICES, 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.
