Albert H. Postle
Professional summary
Albert Henry Postle III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Albert is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Albert had worked at 11 firms, which includes MML INVESTORS SERVICES LLC, SIGNATOR INVESTORS INC., NYLIFE SECURITIES LLC, EDWARD JONES, CHARTER ONE SECURITIES INC., HOWARD WEIL INCORPORATED, APEX CLEARING CORPORATION, INTESA SANPAOLO IMI SECURITIES CORP., DIME SECURITIES INC., INVEST FINANCIAL CORPORATION, AMERIPRISE FINANCIAL SERVICES LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 9, 2008 - January 7, 2010
MML INVESTORS SERVICES, LLC
December 20, 2007 - June 9, 2008
SIGNATOR INVESTORS, INC.
June 10, 2003 - August 2, 2007
NYLIFE SECURITIES LLC
April 28, 1999 - June 4, 2003
EDWARD JONES
April 12, 1999 - April 15, 1999
CHARTER ONE SECURITIES, INC.
July 14, 1997 - December 31, 1998
HOWARD WEIL INCORPORATED
January 1, 1995 - July 16, 1997
APEX CLEARING CORPORATION
March 15, 1993 - December 13, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
May 12, 1992 - April 19, 1993
DIME SECURITIES, INC.
October 7, 1987 - May 20, 1992
INVEST FINANCIAL CORPORATION
July 24, 1986 - March 17, 1987
AMERIPRISE FINANCIAL SERVICES, 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.
