Thomas E. Badger
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.
Thomas Edward Badger, CFP®, who also goes by Tom Badger, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1991. Thomas had worked at 13 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2001
Experience
March 25, 2017 - February 15, 2022
MML INVESTORS SERVICES, LLC
March 25, 2017 - February 15, 2022
MML INVESTORS SERVICES, LLC
July 1, 2013 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
July 1, 2013 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 10, 2011 - September 6, 2012
FINANCIAL TELESIS INC
November 30, 2010 - February 3, 2011
LPL FINANCIAL LLC
February 13, 2009 - November 14, 2012
NATIONAL PENN CAPITAL ADVISORS
January 14, 2009 - November 30, 2010
NRP FINANCIAL, INC.
September 16, 2008 - December 31, 2008
CETERA INVESTMENT SERVICES LLC
August 19, 2008 - December 31, 2008
CETERA INVESTMENT SERVICES LLC
February 26, 2007 - August 12, 2008
EAGLE STRATEGIES LLC
June 21, 2005 - August 12, 2008
NYLIFE SECURITIES LLC
May 17, 2004 - June 1, 2005
MML INVESTORS SERVICES, LLC
June 3, 1999 - April 29, 2004
TOWER SQUARE SECURITIES, INC.
October 29, 1998 - January 29, 1999
ALLSTATE FINANCIAL SERVICES, LLC
October 17, 1995 - October 29, 1998
AFD, INC.
April 8, 1991 - January 5, 1994
METROPOLITAN LIFE INSURANCE COMPANY
April 8, 1991 - January 5, 1994
MSI FINANCIAL SERVICES, INC.
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.
