Marie K. Whiteheart
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.
Marie Klem Whiteheart, who also goes by Marie Klem Eaton, Marie Klen Whiteheart, Marie Marjorie Whiteheart, Marie Whiteheart, was a registered financial advisor .
Marie is a previously registered financial advisor and started their career in finance in 1985. Marie had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 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
November 4, 2016 - March 23, 2017
MML INVESTORS SERVICES, LLC
November 5, 2013 - April 6, 2016
LINCOLN FINANCIAL DISTRIBUTORS, INC.
August 2, 2012 - November 30, 2012
INTERCAROLINA FINANCIAL SERVICES, INC.
July 30, 2012 - November 30, 2012
INTERCAROLINA FINANCIAL SERVICES, INC.
October 12, 2005 - October 29, 2010
MML INVESTORS SERVICES, LLC
August 10, 2005 - October 29, 2010
MML INVESTORS SERVICES, LLC
December 22, 2000 - July 29, 2005
BB&T INVESTMENT SERVICES, INC.
November 24, 1999 - March 7, 2000
OSAIC FS, INC.
July 1, 1993 - November 15, 1999
CHARLES SCHWAB & CO., INC.
May 8, 1992 - May 20, 1992
IDS LIFE INSURANCE COMPANY
May 8, 1992 - May 20, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
January 1, 1990 - June 29, 1990
NYLIFE SECURITIES LLC
February 21, 1989 - April 17, 1989
FIRST EAGLE, INC.
March 31, 1988 - February 28, 1989
POWER SECURITIES CORPORATION
May 13, 1987 - March 26, 1988
BLINDER, ROBINSON & CO., INC.
March 16, 1987 - April 28, 1988
AMERIPRISE ADVISOR SERVICES, INC.
December 17, 1985 - December 9, 1986
INVEST FINANCIAL CORPORATION
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.
