Charlyne Thurmondcottrell
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.
Charlyne Thurmondcottrell, who also goes by Charlyne Thurmond Cottrell, Charlyne Thurmond, Charlyne Thurmond-cottrell, Charlyne Thurmondcottrell, was a registered financial professional .
Charlyne is a previously registered financial professional and started their career in finance in 1991. Charlyne had worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 14, 2015 - December 31, 2016
MML DISTRIBUTORS, LLC
July 2, 2013 - October 2, 2014
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 10, 2011 - June 28, 2013
VOYA RETIREMENT ADVISORS, LLC
July 14, 2000 - January 10, 2011
NATIONWIDE INVESTMENT SERVICES CORPORATION
February 16, 1999 - July 6, 2000
MERCER SECURITIES, INC.
February 12, 1996 - September 29, 1998
MARSH & MCLENNAN SECURITIES CORPORATION
May 21, 1991 - January 1, 1996
FUNDSELECT ADVISERS, INC.
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 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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