Vance M. Feiler
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.
Vance Michael Feiler was a registered financial professional .
Vance is a previously registered financial professional and started their career in finance in 1991. Vance had worked at 9 firms and has passed the Series 66, Series 65, 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 - April 3, 2018
MML INVESTORS SERVICES, LLC
March 25, 2017 - April 3, 2018
MML INVESTORS SERVICES, LLC
November 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
October 30, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
July 10, 2008 - November 2, 2015
NEXT FINANCIAL GROUP, INC.
November 19, 2007 - November 2, 2015
NEXT FINANCIAL GROUP, INC.
August 9, 2005 - November 21, 2007
ALLSTATE FINANCIAL SERVICES, LLC
April 13, 2005 - July 22, 2005
INVESTMENT PROFESSIONALS, INC.
April 13, 2005 - July 22, 2005
INVESTMENT PROFESSIONALS, INC.
May 20, 2004 - April 12, 2005
CAPITAL ONE INVESTMENTS, LLC
March 17, 2003 - May 7, 2004
IFMG SECURITIES, INC.
July 29, 1996 - May 7, 2004
IFMG SECURITIES, INC.
February 14, 1991 - July 24, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
February 14, 1991 - May 29, 2002
IDS LIFE INSURANCE COMPANY
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 |
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.
