Jeanne L. Mersch
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.
Jeanne Louise Mersch was a registered financial professional .
Jeanne is a previously registered financial professional and started their career in finance in 1988. Jeanne had worked at 7 firms and has passed the Series 66, Series 63, Series 6TO, Series 22TO, Series 7TO, SIE, Series 7, Series 22, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2014 - February 4, 2021
MML DISTRIBUTORS, LLC
January 23, 2009 - May 1, 2014
MML INVESTORS SERVICES, LLC
June 27, 2007 - November 7, 2008
HRH INVESTMENT ADVISORS, LLC
September 15, 2004 - November 7, 2008
WESTPORT FINANCIAL SERVICES, L.L.C.
November 29, 2001 - July 1, 2004
MML INVESTORS SERVICES, LLC
October 30, 2000 - May 4, 2001
NEW ENGLAND SECURITIES
January 6, 1997 - December 31, 1998
NEW ENGLAND SECURITIES
February 25, 1992 - December 17, 1996
NEW ENGLAND SECURITIES
June 7, 1990 - August 30, 1991
ROBERT THOMAS SECURITIES, INC
September 5, 1989 - June 11, 1990
BROAD REACH CAPITAL, INC.
January 22, 1988 - September 9, 1989
NEW ENGLAND SECURITIES
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 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
MML DISTRIBUTORS, LLC
CRD#: 38030 / SEC#: , 8-48203
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | MEMBER | |
| BAGGETTA, VINCENT COSIMO | CHIEF RISK OFFICER | 2431743 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| MASSMUTUAL HOLDING LLC | MEMBER | |
| PUHALA, JAMES | CHIEF COMPLIANCE OFFICER | 5290483 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| STEELE, DOUGLAS ROBERT | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 5026710 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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