Katherine A. Caron
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.
Katherine Alice Caron, who also goes by Kate Caron, was a registered financial professional .
Katherine is a previously registered financial professional and started their career in finance in 1990. Katherine had worked at 5 firms and has passed the Series 65, Series 99TO, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 9, 2018 - December 31, 2024
MML DISTRIBUTORS, LLC
September 9, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
March 6, 2014 - December 31, 2024
MML STRATEGIC DISTRIBUTORS, LLC
June 26, 2012 - November 4, 2013
MMLISI FINANCIAL ALLIANCES, LLC
April 2, 2004 - September 12, 2007
MML DISTRIBUTORS, LLC
September 11, 1997 - March 2, 2004
MML DISTRIBUTORS, LLC
August 29, 1990 - December 31, 2024
MML INVESTORS SERVICES, LLC
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal 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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Check for any disclosures as part of your thorough research when choosing an advisor.
