Troy M. Perry
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.
Troy Michael Perry was a registered financial professional .
Troy is a previously registered financial professional and started their career in finance in 1991. Troy had worked at 8 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2019 - March 13, 2020
MML INVESTORS SERVICES, LLC
February 11, 2019 - March 13, 2020
MML INVESTORS SERVICES, LLC
November 25, 2013 - September 8, 2017
PNC WEALTH MANAGEMENT LLC
November 25, 2013 - September 8, 2017
PNC WEALTH MANAGEMENT LLC
August 9, 2012 - December 2, 2013
MML INVESTORS SERVICES, LLC
July 13, 2012 - December 2, 2013
MML INVESTORS SERVICES, LLC
December 3, 2004 - June 29, 2012
CUSO FINANCIAL SERVICES, L.P.
December 3, 2004 - June 29, 2012
CUSO FINANCIAL SERVICES, L.P.
October 20, 2004 - November 23, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - November 23, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 6, 2002 - October 20, 2004
QUICK & REILLY, INC.
June 21, 2002 - October 20, 2004
QUICK & REILLY, INC.
January 11, 2002 - July 18, 2002
CUNA BROKERAGE SERVICES, INC.
February 17, 1998 - July 1, 2002
CUNA BROKERAGE SERVICES, INC.
December 5, 1991 - February 12, 1998
IDS LIFE INSURANCE COMPANY
December 5, 1991 - February 12, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
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.
