Jack A. Pedotto
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.
Jack Anthony Pedotto JR was a registered financial professional .
Jack is a previously registered financial professional and started their career in finance in 1986. Jack had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2012 - February 10, 2014
MML INVESTORS SERVICES, LLC
October 3, 2012 - February 10, 2014
MML INVESTORS SERVICES, LLC
May 27, 2004 - October 4, 2012
TOWER SQUARE SECURITIES, INC.
May 25, 2004 - October 4, 2012
TOWER SQUARE SECURITIES, INC.
May 24, 2002 - May 20, 2004
MAIN STREET MANAGEMENT COMPANY
January 16, 2002 - May 17, 2002
QUICK & REILLY, INC.
September 29, 1998 - January 30, 2002
WELLS FARGO CLEARING SERVICES, LLC
March 24, 1993 - September 15, 1998
AMERIPRISE ADVISOR SERVICES, INC.
November 2, 1992 - March 10, 1993
JOSEPH CHARLES & ASSOC., INC.
July 30, 1992 - November 3, 1992
J. GREGORY & COMPANY, INC.
August 22, 1991 - July 24, 1992
INVESTMENT CENTERS OF AMERICA, INC.
June 10, 1991 - September 4, 1991
J. W. GANT & ASSOCIATES, INC.
February 14, 1991 - June 10, 1991
NETWORK 1 FINANCIAL SECURITIES INC.
October 15, 1990 - January 10, 1991
ROYCE PARK INVESTMENTS, INC.
January 2, 1987 - October 24, 1990
J. W. GANT & ASSOCIATES, INC.
March 11, 1986 - January 2, 1987
MICHELIN AND COMPANY, 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
Series 8
Date: 7/28/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
