David C. Garvin
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.
David C Garvin JR, who also goes by David C. Garvin Jr, David Carroll Garvin Jr, Guy Garvin, Jr David Garvin Jr. Jr, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1992. David had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, 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
January 26, 2021 - December 22, 2022
MML INVESTORS SERVICES, LLC
October 5, 2020 - December 22, 2022
MML INVESTORS SERVICES, LLC
September 6, 2016 - February 14, 2018
RAYMOND JAMES & ASSOCIATES, INC.
September 6, 2016 - February 14, 2018
RAYMOND JAMES & ASSOCIATES, INC.
May 16, 2008 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
May 15, 2008 - September 6, 2016
DEUTSCHE BANK SECURITIES INC.
February 15, 2007 - May 21, 2008
UBS FINANCIAL SERVICES INC.
May 26, 2000 - May 21, 2008
UBS FINANCIAL SERVICES INC.
August 16, 1993 - May 16, 2000
WELLS FARGO CLEARING SERVICES, LLC
March 11, 1993 - July 20, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 11, 1993 - July 20, 1993
EQUITABLE ADVISORS, LLC
September 10, 1992 - September 18, 1992
IDS LIFE INSURANCE COMPANY
September 10, 1992 - September 18, 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 7TO
Date: 10/5/2020
General Securities 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.
