Richard J. Lamonte
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.
Richard Joseph Lamonte was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 13 firms and has passed the Series 63, SIE, Series 6 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 7, 2017 - October 27, 2017
MML INVESTORS SERVICES, LLC
June 10, 2015 - August 2, 2016
MML INVESTORS SERVICES, LLC
April 3, 2014 - May 28, 2015
PRINCIPAL SECURITIES, INC.
October 23, 2008 - April 28, 2014
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
December 15, 1998 - November 17, 2006
MML INVESTORS SERVICES, LLC
March 17, 1997 - October 16, 1998
NYLIFE SECURITIES LLC
December 13, 1994 - February 4, 1997
MONY SECURITIES CORPORATION
April 12, 1994 - October 17, 1994
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 27, 1992 - April 7, 1994
NEW ENGLAND SECURITIES
May 21, 1991 - April 15, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 21, 1991 - April 15, 1992
PRUCO SECURITIES, LLC.
January 16, 1990 - December 31, 1990
TRANSAMERICA SECURITIES SALES CORPORATION
January 16, 1990 - December 31, 1990
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 1, 1987 - January 10, 1990
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 1, 1987 - January 10, 1990
EQUITABLE ADVISORS, 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
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.
