Christian E. Rowland
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.
Christian Edward Rowland, who also goes by Christian E Rowland, Christian Edward Rowland I, was a registered financial professional .
Christian is a previously registered financial professional and started their career in finance in 1992. Christian had worked at 10 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
October 18, 2019 - February 7, 2020
MML INVESTORS SERVICES, LLC
October 8, 2019 - February 7, 2020
MML INVESTORS SERVICES, LLC
September 25, 2017 - February 26, 2018
CUSO FINANCIAL SERVICES, L.P.
September 18, 2017 - February 26, 2018
CUSO FINANCIAL SERVICES, L.P.
May 4, 2016 - September 18, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
April 25, 2016 - September 18, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 20, 2001 - April 29, 2016
WELLS FARGO CLEARING SERVICES, LLC
April 16, 2001 - April 29, 2016
WELLS FARGO CLEARING SERVICES, LLC
December 8, 2000 - December 12, 2000
FIRSTAR INVESTMENT SERVICES,INC.
October 1, 2000 - December 8, 2000
WELLS FARGO CLEARING SERVICES, LLC
November 11, 1999 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
June 17, 1993 - November 27, 1993
SUNPOINT SECURITIES, INC.
December 9, 1992 - June 25, 1993
NYLIFE SECURITIES LLC
May 26, 1992 - September 24, 1992
WOODBURY FINANCIAL SERVICES, INC.
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.
