Aida R. Ainza
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.
Aida Ramos Ainza, who also goes by Adelaida Ramos Ainza, Adelaida Encarnacion Ramos, was a registered financial professional .
Aida is a previously registered financial professional and started their career in finance in 1986. Aida had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 4 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
July 20, 2017 - February 23, 2024
MML INVESTORS SERVICES, LLC
May 10, 2017 - February 23, 2024
MML INVESTORS SERVICES, LLC
January 2, 2015 - January 19, 2017
MSI FINANCIAL SERVICES, INC.
January 2, 2015 - January 19, 2017
MSI FINANCIAL SERVICES, INC.
September 2, 2009 - January 2, 2015
NEW ENGLAND SECURITIES
July 24, 2009 - January 2, 2015
NEW ENGLAND SECURITIES
October 1, 2000 - July 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - July 9, 2009
WELLS FARGO CLEARING SERVICES, LLC
May 29, 1996 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
June 14, 1995 - May 13, 1996
AMSOUTH INVESTMENT SERVICES, INC.
February 7, 1991 - June 29, 1995
GUARDIAN INVESTOR SERVICES LLC
February 20, 1990 - September 21, 1990
FIRST UNION BROKERAGE SERVICES, INC.
August 14, 1986 - April 5, 1990
FLORIDA NATIONAL INVESTMENT 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.
