Spiros P. Angelopoulos
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.
Spiros Peter Angelopoulos, who also goes by Spiros Angelopoulos, was a registered financial professional .
Spiros is a previously registered financial professional and started their career in finance in 1987. Spiros had worked at 12 firms and has passed the Series 63, Series 7 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2009 - February 22, 2012
MML INVESTORS SERVICES, LLC
November 5, 2004 - December 11, 2007
OSCAR GRUSS & SON INCORPORATED
May 18, 2004 - November 3, 2004
VIANET DIRECT, INC.
April 9, 2003 - January 28, 2004
DASH FINANCIAL TECHNOLOGIES LLC
November 15, 2002 - April 9, 2003
NANDRA GROUP, INC.
October 24, 2002 - November 13, 2002
ROBERT W. BAIRD & CO. INCORPORATED
July 24, 2001 - October 8, 2002
LABRANCHE FINANCIAL SERVICES, LLC
June 19, 2001 - October 4, 2002
GALWAY SECURITIES CORPORATION
October 1, 2000 - January 18, 2001
SUNGARD GLOBAL EXECUTION SERVICES LLC
October 10, 1990 - March 4, 1996
JEFFERIES EXECUTION SERVICES, INC.
June 6, 1989 - October 5, 1990
J.P. MORGAN SECURITIES LLC
February 24, 1987 - October 2, 1987
DOMIK CORP.
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 25
Date: 1/18/2000
NYSE Trading Assistant 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.
