Michael A. Aguirre
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.
Michael Andrew Aguirre, who also goes by Mike Aguirre, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1987. Michael had worked at 8 firms and has passed the Series 65, Series 63, SIE, 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
February 14, 2020 - July 5, 2023
MML INVESTORS SERVICES, LLC
February 10, 2020 - July 5, 2023
MML INVESTORS SERVICES, LLC
November 2, 2018 - January 7, 2020
OSAIC WEALTH, INC.
November 2, 2018 - January 7, 2020
OSAIC WEALTH, INC.
October 30, 2014 - November 2, 2018
SIGNATOR INVESTORS, INC.
October 30, 2014 - November 2, 2018
SIGNATOR INVESTORS, INC.
July 30, 2010 - November 13, 2014
INVESTMENT PROFESSIONALS, INC.
July 30, 2010 - November 13, 2014
INVESTMENT PROFESSIONALS, INC.
May 27, 2008 - August 16, 2010
MSI FINANCIAL SERVICES, INC.
January 6, 2003 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
January 6, 2003 - August 16, 2010
MSI FINANCIAL SERVICES, INC.
July 1, 2002 - December 20, 2002
THRIVENT INVESTMENT MANAGEMENT INC.
December 2, 1993 - July 1, 2002
LUTHERAN BROTHERHOOD SECURITIES CORP.
June 9, 1987 - December 9, 1993
THRIVENT INVESTMENT MANAGEMENT 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
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.
