Jeannine L. Zellner
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.
Jeannine L Zellner, who also goes by Jeannine Louise Zellner Ms., Jeannine Louise Zellner, was a registered financial professional .
Jeannine is a previously registered financial professional and started their career in finance in 1997. Jeannine had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2017 - July 10, 2020
MML INVESTORS SERVICES, LLC
September 15, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
June 29, 2016 - August 19, 2016
PRINCIPAL SECURITIES, INC.
February 26, 2016 - June 10, 2016
MSI FINANCIAL SERVICES, INC.
October 8, 2015 - November 11, 2015
MSI FINANCIAL SERVICES, INC.
November 13, 2013 - September 26, 2014
OSAIC FS, INC.
January 4, 2011 - December 20, 2011
PHX FINANCIAL, INC.
August 31, 2010 - November 23, 2010
MML INVESTORS SERVICES, LLC
October 4, 2007 - September 18, 2008
CITIGROUP GLOBAL MARKETS INC.
May 4, 2006 - October 9, 2006
CREDIT SUISSE SECURITIES (USA) LLC
May 4, 2005 - August 10, 2005
BANC ONE SECURITIES CORPORATION
October 29, 2002 - October 15, 2003
BANC ONE SECURITIES CORPORATION
July 22, 1999 - February 14, 2001
BANC ONE SECURITIES CORPORATION
October 5, 1998 - November 4, 1998
ROBERTSON STEPHENS, INC.
April 24, 1998 - August 26, 1998
WILLIAM BLAIR
October 6, 1997 - January 16, 1998
DAIN RAUSCHER INCORPORATED
April 30, 1997 - September 18, 1997
GRUNTAL & CO., L.L.C.
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.
