William F. Newhall
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.
William Frederick Newhall III, who also goes by W F Newhall III, William F III Newhall, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1989. William had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 9 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 - August 16, 2017
MML DISTRIBUTORS, LLC
September 6, 2007 - May 1, 2014
MML INVESTORS SERVICES, LLC
August 18, 2004 - August 8, 2007
A. G. EDWARDS & SONS, INC.
August 11, 2004 - August 8, 2007
A. G. EDWARDS & SONS, INC.
June 3, 2004 - August 11, 2004
AMUNDI ASSET MANAGEMENT US, INC.
June 24, 2002 - August 11, 2004
AMUNDI DISTRIBUTOR US, INC.
May 15, 1998 - June 21, 2002
STRATEGIC ADVISERS LLC
April 9, 1998 - June 21, 2002
FIDELITY BROKERAGE SERVICES LLC
January 3, 1996 - April 9, 1998
FIDELITY DISTRIBUTORS COMPANY LLC
November 23, 1993 - December 31, 1995
FIDELITY BROKERAGE SERVICES LLC
June 30, 1993 - November 15, 1993
CHARLES SCHWAB & CO., INC.
August 22, 1989 - July 8, 1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 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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