Edward M. Henderson
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.
Edward Mark Henderson, who also goes by Ed Henderson, was a registered financial professional .
Edward is a previously registered financial professional and started their career in finance in 1992. Edward had worked at 11 firms and has passed the Series 66, Series 63, Series 6TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 15, 2020 - October 16, 2025
MML INVESTORS SERVICES, LLC
August 1, 2017 - December 6, 2018
PNC WEALTH MANAGEMENT LLC
August 1, 2017 - December 6, 2018
PNC WEALTH MANAGEMENT LLC
January 2, 2009 - November 11, 2016
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 5, 2005 - October 11, 2011
KOOMAN & ASSOCIATES, INC.
March 9, 2004 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 24, 2003 - November 11, 2016
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 5, 2002 - June 27, 2003
M&T SECURITIES, INC.
October 7, 2000 - November 15, 2001
M&T SECURITIES, INC.
April 27, 2000 - October 7, 2000
KEYSTONE BROKERAGE, LLC
February 7, 1997 - August 25, 1998
KEYSTONE BROKERAGE, LLC
November 9, 1993 - August 16, 1996
DREYFUS INVESTMENT SERVICES COMPANY, LLC
January 25, 1993 - November 19, 1993
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
September 14, 1992 - September 25, 1992
IDS LIFE INSURANCE COMPANY
September 14, 1992 - September 25, 1992
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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.
