Frank W. Coffey
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.
Frank William Coffey JR, who also goes by Frank William Coffery Jr, Francis Coffey Jr, Frank William Coffey, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1995. Frank had worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6, Series 3, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2013 - February 1, 2019
MML DISTRIBUTORS, LLC
August 9, 2012 - January 2, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
April 5, 2005 - December 31, 2006
JOHN HANCOCK DISTRIBUTORS LLC
April 26, 2004 - January 3, 2007
JOHN HANCOCK DISTRIBUTORS LLC
January 6, 2003 - June 20, 2003
FIRST TRUST PORTFOLIOS L.P.
January 5, 2000 - December 17, 2002
FIRST TRUST PORTFOLIOS L.P.
June 25, 1998 - May 27, 1999
CETERA FINANCIAL SPECIALISTS LLC
May 2, 1996 - June 29, 1998
DREHER & ASSOCIATES, INC.
June 5, 1995 - March 5, 1996
MORGAN STANLEY DW 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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