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BR

Brett E. Roberts

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CRD#: 1819056
BR

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.

Brett Evans Roberts, who also goes by Brett E Roberts, was a registered financial professional .

Brett is a previously registered financial professional and started their career in finance in 1988. Brett had worked at 3 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brett E Roberts

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 2, 2013 - February 28, 2013

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA
Past

January 1, 2009 - January 2, 2013

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BD
CRD#: 37819
NORTH RICHLAND HILLS, TX
Past

April 21, 1988 - January 1, 2009

HIMCO DISTRIBUTION SERVICES COMPANY

BD
CRD#: 6604
NORTH RICHLAND HILLS, TX

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/8/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 4/16/1988
General Securities Representative Examination

Current Firm

MD
MML DISTRIBUTORS, LLC
CONNECTICUT MUTUAL FINANCIAL SERVICES, LLC. | MML DISTRIBUTORS, LLC | MML DISTRIBUTORS, LIMITED LIABILITY COMPANY

CRD#: 38030 / SEC#: , 8-48203

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
1295 State Street, Springfield, MA 01111
Mailing Address
1295 State Street, Springfield, MA 01111
Phone number
(413) 737-8400
Established
Connecticut since 11/10/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYMEMBER
BAGGETTA, VINCENT COSIMOCHIEF RISK OFFICER2431743
DUCH III, EDWARD KARLCHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT4808341
MASSMUTUAL HOLDING LLCMEMBER
PUHALA, JAMESCHIEF COMPLIANCE OFFICER5290483
RISPOLI, FRANK JOSEPHCHIEF FINANCIAL OFFICER AND TREASURER4364402
STEELE, DOUGLAS ROBERTCHIEF EXECUTIVE OFFICER AND PRESIDENT5026710

Disclosures

Regulatory Event3

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.

Company Information

MML DISTRIBUTORS, LLC

CRD#: 38030

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