Donald E. Brown
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.
Donald Eugene Brown, who also goes by Don Brown, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 2009. Donald had worked at 9 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 13, 2024 - February 20, 2025
MML INVESTORS SERVICES, LLC
August 8, 2024 - February 20, 2025
MML INVESTORS SERVICES, LLC
April 27, 2022 - November 23, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 25, 2022 - November 23, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 1, 2021 - March 4, 2022
THE HUNTINGTON INVESTMENT COMPANY
September 29, 2021 - March 4, 2022
THE HUNTINGTON INVESTMENT COMPANY
July 22, 2021 - September 14, 2021
W&S BROKERAGE SERVICES, INC.
July 20, 2021 - September 14, 2021
W&S BROKERAGE SERVICES, INC.
July 31, 2017 - July 20, 2020
CUNA BROKERAGE SERVICES, INC.
July 28, 2017 - July 20, 2020
CUNA BROKERAGE SERVICES, INC.
September 16, 2016 - July 14, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
July 28, 2015 - November 20, 2015
VALIC FINANCIAL ADVISORS, INC.
October 10, 2013 - July 24, 2015
VOYA FINANCIAL ADVISORS, INC.
June 17, 2009 - July 27, 2011
ARROW APEX INVESTMENT, MANAGEMENT & CONSULTING 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.
