Shamveel Pasha
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.
Shamveel Pasha, who also goes by Shamyeel Pasha, Shamveel Pasha, was a registered financial professional .
Shamveel is a previously registered financial professional and started their career in finance in 1985. Shamveel had worked at 18 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, SIE, Series 7, Series 6 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
June 24, 2025 - February 18, 2026
MML INVESTORS SERVICES, LLC
December 20, 2023 - April 4, 2025
EQUITY SERVICES, INC.
October 14, 2019 - August 3, 2021
FARMERS FINANCIAL SOLUTIONS, LLC
August 9, 2017 - July 9, 2018
DAVID LERNER ASSOCIATES, INC.
June 9, 2017 - August 31, 2017
MML INVESTORS SERVICES, LLC
May 19, 2014 - December 21, 2015
MSI FINANCIAL SERVICES, INC.
August 26, 2013 - May 12, 2014
LEGEND SECURITIES, INC.
March 8, 2012 - May 23, 2013
AZZAD ASSET MANAGEMENT, INC.
March 18, 2008 - January 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 18, 2008 - January 20, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 29, 2007 - April 3, 2008
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - April 3, 2008
CITIGROUP GLOBAL MARKETS INC.
March 7, 2007 - May 29, 2007
CITICORP INVESTMENT SERVICES
December 11, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
April 11, 2005 - December 20, 2006
ALLSTATE FINANCIAL SERVICES, LLC
June 28, 2004 - March 30, 2005
1717 CAPITAL MANAGEMENT COMPANY
May 27, 1999 - June 10, 2004
HSBC BROKERAGE (USA) INC.
February 22, 1993 - October 17, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
June 1, 1992 - May 1, 1999
CITICORP INVESTMENT SERVICES
September 25, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
July 23, 1990 - October 17, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
August 9, 1988 - July 3, 1990
WAMU INVESTMENTS, INC.
January 5, 1988 - January 27, 1988
EQUITABLE ADVISORS, LLC
February 22, 1985 - January 9, 1988
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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative 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.
