James C. Wenzl

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CRD#: 1863795

Professional summary

James Charles Wenzl was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James is a previously registered financial advisor and started their career in finance in 1988. Prior to being barred, James had worked at 6 firms, which includes MML INVESTORS SERVICES LLC, NEW ENGLAND SECURITIES, PARK AVENUE SECURITIES LLC, GUARDIAN INVESTOR SERVICES LLC, THE PRUDENTIAL INSURANCE COMPANY OF AMERICA, PRUCO SECURITIES LLC..

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

July 21, 2008 - September 7, 2010

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

LAS VEGAS, NV

Past

July 3, 2008 - September 7, 2010

MML INVESTORS SERVICES, LLC

CRD#: 10409

LAS VEGAS, NV

Past

August 9, 2006 - May 27, 2008

NEW ENGLAND SECURITIES

RIA

CRD#: 615

HUNT VALLEY, MD

Past

May 18, 2006 - May 27, 2008

NEW ENGLAND SECURITIES

CRD#: 615

HUNT VALLEY, MD

Past

March 14, 2003 - May 3, 2006

PARK AVENUE SECURITIES LLC

RIA

CRD#: 46173

TOWSON, MD

Past

May 3, 1999 - May 3, 2006

PARK AVENUE SECURITIES LLC

CRD#: 46173

TOWSON, MD

Past

March 5, 1996 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

September 16, 1988 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

September 16, 1988 - March 11, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MML INVESTORS SERVICES, LLC

CRD#: 10409 / SEC#: 801-44264, 8-27250

RIA

Registered Investment Advisory firm - SEC (7/13/1993 Approved)

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

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/6/2003

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/20/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/3/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/14/1988

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/27/2007

General Securities Principal Examination

Current Firm

MML INVESTORS SERVICES, LLC

CRD#: 10409 / SEC#: 801-44264, 8-27250

RIA

Registered Investment Advisory firm - SEC (7/13/1993 Approved)

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

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Contact information

Main Address

1295 State Street, Springfield, MA 01111-0001

Mailing Address

1295 State Street, Springfield, MA 01111-0001

Phone number

(413) 737-8400

Established

Massachusetts since 01/01/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

7,056

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV (THIRD PARTY PROGRAMS) (11/13/2025)

FORM ADV PART 2A FOR MML PLAN SOLUTIONS (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - ADVISOR SELECT (10/6/2025)

PART 2A BROCHURE MASSMUTUAL PLAN FIDUCIARY SERVICES PROGRAM (10/6/2025)

PORTFOLIO SOLUTIONS PROGRAMS WRAP FEE BROCHURE (10/6/2025)

PART 2 A APPENDIX 1 OF FORM ADV - SMA SELECT (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - STRATEGIST SELECT AND STRATEGIST SELECT MF ONLY (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - UMA SELECT PREMIER AND UMA SELECT PREMIER MF ONLY (10/6/2025)

VALIANCE INVESTMENT PROGRAMS (10/6/2025)

WMS ORION DISCLOSURE BROCHURE (10/6/2025)

WMS ADVISORY ANNUITIES DISCLOSURE BROCHURE (7/1/2025)

PART 2A OF FORM ADV (BAYSTATE AND NEWSQUARE) (7/1/2025)

FINANCIAL PLANNING SERVICES ADV BROCHURE (3/28/2025)

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	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
12/19/2022	Cover Page	Report

Red Flags

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James C. Wenzl

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

NEW ENGLAND SECURITIES

NEW ENGLAND SECURITIES

PARK AVENUE SECURITIES LLC

PARK AVENUE SECURITIES LLC

GUARDIAN INVESTOR SERVICES LLC

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/6/2003

Series 63

Date: 2/20/1998

Series 7

Date: 10/3/2002

Series 6

Date: 9/14/1988

Series 24

Date: 12/27/2007

Current Firm

MML INVESTORS SERVICES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MML INVESTORS SERVICES, LLC

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