Joyce M. Beard
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.
Joyce Marie Beard, who also goes by Joyce M Hood, Joyce Marie Hood, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 1991. Joyce had worked at 12 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
Experience
August 10, 2018 - October 2, 2018
MML INVESTORS SERVICES, LLC
May 24, 2016 - May 31, 2017
LPL FINANCIAL LLC
May 24, 2016 - May 31, 2017
LPL FINANCIAL LLC
September 23, 2015 - February 22, 2016
PURSHE KAPLAN STERLING INVESTMENTS
August 18, 2015 - August 19, 2015
MUTUAL SECURITIES, INC.
October 7, 2009 - August 25, 2015
LPL FINANCIAL LLC
October 7, 2009 - August 25, 2015
LPL FINANCIAL LLC
February 4, 2009 - October 24, 2009
ONEAMERICA SECURITIES, INC.
March 28, 2005 - March 10, 2008
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
August 30, 2002 - March 28, 2005
CAMBRIDGE INVESTMENT RESEARCH, INC.
August 30, 2002 - March 10, 2008
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 7, 2001 - July 3, 2002
EDWARD JONES
November 17, 1997 - May 9, 2001
BANC ONE SECURITIES CORPORATION
February 21, 1996 - November 5, 1997
J.P. MORGAN SECURITIES OF TEXAS, INC.
April 6, 1995 - June 9, 1996
CAPITAL BROKERAGE CORPORATION
May 31, 1994 - October 31, 1994
INVEST FINANCIAL CORPORATION
February 16, 1994 - May 11, 1994
CAPITAL BROKERAGE CORPORATION
January 30, 1991 - July 1, 1992
CAPITAL BROKERAGE CORPORATION
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.
