John Occhiogrosso

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CRD#: 2192496

Professional summary

John Occhiogrosso was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John is a previously registered financial professional and started their career in finance in 1992. Prior to being barred, John had worked at 16 firms, which includes MML INVESTORS SERVICES LLC, FFP SECURITIES INC., ON-SITE TRADING INC., SUNPOINT SECURITIES INC., FIRST LIBERTY INVESTMENT GROUP INC., MEYERS POLLOCK ROBBINS INC., GLOBAL CAPITAL MARKETS LLC, MATRIX SECURITIES CORPORATION, MORGAN TAYLOR & ASSOCIATES INC., TUSCANY EQUITY MANAGEMENT CORPORATI0N, GREAT AMERICAN FINANCIAL NETWORK INC., MORGAN STANLEY DW INC., DONALD & CO. SECURITIES INC., ROBERT TODD FINANCIAL CORP., JOSEPHTHAL & CO. INC., COMPREHENSIVE CAPITAL CORPORATION.

Question & Answer

Are you a "fiduciary"?

Aliases

John M Occhiogrosso | John Ogrosso

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

June 27, 2001 - February 21, 2002

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

January 18, 2001 - July 25, 2001

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

February 11, 2000 - November 3, 2000

ON-SITE TRADING, INC.

CRD#: 30271

GREAT NECK, NY

Past

October 26, 1998 - November 9, 1999

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

January 28, 1998 - September 23, 1998

SUNPOINT SECURITIES, INC.

CRD#: 25442

LONGVIEW, TX

Past

May 28, 1997 - February 2, 1998

FIRST LIBERTY INVESTMENT GROUP, INC.

CRD#: 3536

PHILADELPHIA, PA

Past

September 6, 1996 - June 12, 1997

MEYERS POLLOCK ROBBINS, INC.

CRD#: 13436

NEW YORK, NY

Past

August 22, 1996 - September 13, 1996

GLOBAL CAPITAL MARKETS, LLC

CRD#: 16191

MELVILLE, NY

Past

June 21, 1996 - August 23, 1996

MATRIX SECURITIES CORPORATION

CRD#: 30991

GARDEN CITY, NY

Past

January 23, 1996 - February 14, 1996

MORGAN, TAYLOR & ASSOCIATES, INC.

CRD#: 37447

MINEOLA, NY

Past

October 17, 1995 - January 25, 1996

TUSCANY EQUITY MANAGEMENT CORPORATI0N

CRD#: 20016

DEERFIELD BEACH, FL

Past

June 29, 1994 - April 12, 1995

GREAT AMERICAN FINANCIAL NETWORK, INC.

CRD#: 14108

NORCROSS, GA

Past

September 10, 1993 - May 24, 1994

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

May 14, 1993 - September 14, 1993

DONALD & CO. SECURITIES INC.

CRD#: 7776

TINTON FALLS, NJ

Past

August 14, 1992 - May 20, 1993

ROBERT TODD FINANCIAL CORP.

CRD#: 7423

NEW YORK, NY

Past

February 19, 1992 - May 19, 1992

JOSEPHTHAL & CO., INC.

CRD#: 3227

NEW YORK, NY

Past

January 13, 1992 - March 3, 1992

COMPREHENSIVE CAPITAL CORPORATION

CRD#: 6215

GREAT NECK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MML INVESTORS SERVICES, LLC

CRD#: 10409 / SEC#: 801-44264, 8-27250

RIA

Registered Investment Advisory firm - SEC (7/13/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/19/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 9/20/1993

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 1/10/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/13/1996

General Securities Principal Examination

Current Firm

MML INVESTORS SERVICES, LLC

CRD#: 10409 / SEC#: 801-44264, 8-27250

RIA

Registered Investment Advisory firm - SEC (7/13/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

1295 State Street, Springfield, MA 01111-0001

Mailing Address

1295 State Street, Springfield, MA 01111-0001

Phone number

(413) 737-8400

Established

Massachusetts since 01/01/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

7,056

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV (THIRD PARTY PROGRAMS) (11/13/2025)

FORM ADV PART 2A FOR MML PLAN SOLUTIONS (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - ADVISOR SELECT (10/6/2025)

PART 2A BROCHURE MASSMUTUAL PLAN FIDUCIARY SERVICES PROGRAM (10/6/2025)

PORTFOLIO SOLUTIONS PROGRAMS WRAP FEE BROCHURE (10/6/2025)

PART 2 A APPENDIX 1 OF FORM ADV - SMA SELECT (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - STRATEGIST SELECT AND STRATEGIST SELECT MF ONLY (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - UMA SELECT PREMIER AND UMA SELECT PREMIER MF ONLY (10/6/2025)

VALIANCE INVESTMENT PROGRAMS (10/6/2025)

WMS ORION DISCLOSURE BROCHURE (10/6/2025)

WMS ADVISORY ANNUITIES DISCLOSURE BROCHURE (7/1/2025)

PART 2A OF FORM ADV (BAYSTATE AND NEWSQUARE) (7/1/2025)

FINANCIAL PLANNING SERVICES ADV BROCHURE (3/28/2025)

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	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
12/19/2022	Cover Page	Report

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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John Occhiogrosso

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FFP SECURITIES, INC.

ON-SITE TRADING, INC.

FFP SECURITIES, INC.

SUNPOINT SECURITIES, INC.

FIRST LIBERTY INVESTMENT GROUP, INC.

MEYERS POLLOCK ROBBINS, INC.

GLOBAL CAPITAL MARKETS, LLC

MATRIX SECURITIES CORPORATION

MORGAN, TAYLOR & ASSOCIATES, INC.

TUSCANY EQUITY MANAGEMENT CORPORATI0N

GREAT AMERICAN FINANCIAL NETWORK, INC.

MORGAN STANLEY DW INC.

DONALD & CO. SECURITIES INC.

ROBERT TODD FINANCIAL CORP.

JOSEPHTHAL & CO., INC.

COMPREHENSIVE CAPITAL CORPORATION

Primary Firm SEC Registration

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/19/1992

Series 31

Date: 9/20/1993

Series 7

Date: 1/10/1992

Series 24

Date: 11/13/1996

Current Firm

MML INVESTORS SERVICES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MML INVESTORS SERVICES, LLC

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