Stephen R. Soper
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.
Stephen Richard Soper, CFP®, CIMA® was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1985. Stephen had worked at 13 firms and has passed the Series 66, Series 63, Series 65, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2011
Experience
July 2, 2024 - July 9, 2024
MML INVESTORS SERVICES, LLC
July 11, 2023 - December 13, 2023
OSAIC INSTITUTIONS, INC.
July 11, 2023 - December 13, 2023
OSAIC INSTITUTIONS, INC.
February 16, 2022 - April 6, 2023
WRIGHT INVESTORS SERVICE INC
February 15, 2022 - April 6, 2023
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
May 6, 2021 - February 9, 2022
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 14, 2021 - February 9, 2022
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 10, 2016 - February 14, 2018
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
March 5, 2010 - November 13, 2014
WRIGHT INVESTORS SERVICE INC
July 29, 2009 - June 13, 2013
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
April 11, 2008 - November 6, 2008
TD AMERITRADE, INC.
April 11, 2008 - November 6, 2008
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 11, 2008 - November 6, 2008
TD AMERITRADE, INC.
August 15, 2007 - December 17, 2007
BERNZOTT CAPITAL ADVISORS
May 17, 2006 - June 19, 2007
WELLS FARGO INVESTMENTS, LLC
May 15, 2006 - June 19, 2007
WELLS FARGO INVESTMENTS, LLC
January 2, 2003 - January 29, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 15, 2001 - January 29, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 29, 1990 - February 13, 1996
WRIGHT INVESTORS' SERVICE DISTRIBUTORS, INC.
May 23, 1989 - March 7, 1990
WAMU INVESTMENTS, INC.
March 19, 1985 - December 26, 1986
PRUDENTIAL EQUITY GROUP, LLC
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: 4/14/2021
General Securities 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 | ||
| 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.
