Scot B. Michels
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.
Scot B Michels, who also goes by Scot Bradley Michels, Scot Michels, Scot B Nichels, was a registered financial professional .
Scot is a previously registered financial professional and started their career in finance in 1986. Scot had worked at 10 firms and has passed the Series 65, Series 63, Series 57TO, SIE, Series 55, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 8, 2010 - December 31, 2025
MML INVESTORS SERVICES, LLC
October 30, 2009 - October 13, 2010
AMERICAN CENTURY INVESTMENT SERVICES INC.
September 3, 2007 - October 14, 2009
INVESTMENT PROFESSIONALS, INC.
June 27, 2005 - October 14, 2009
INVESTMENT PROFESSIONALS, INC.
July 26, 2001 - June 23, 2005
EDWARD JONES
April 19, 2001 - May 3, 2001
AMERIPRISE ADVISOR SERVICES, INC.
June 8, 1999 - April 9, 2001
WINCHESTER INVESTMENT SECURITIES, INC.
January 7, 1999 - April 6, 1999
METROPOLITAN LIFE INSURANCE COMPANY
January 7, 1999 - April 6, 1999
MSI FINANCIAL SERVICES, INC.
March 17, 1990 - March 29, 1996
AMERICAN CENTURY INVESTMENT SERVICES INC.
October 18, 1989 - February 24, 1990
PAMCO SECURITIES AND INSURANCE SERVICES
November 2, 1987 - November 8, 1989
MML INVESTORS SERVICES, LLC
August 21, 1986 - November 4, 1987
BLINDER, ROBINSON & CO., 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 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 12/28/2000
Limited Representative-Equity Trader ExamCurrent 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 |
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.
