James D. Garber
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.
James Dean Garber was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1992. James had worked at 10 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2014 - December 9, 2016
MML STRATEGIC DISTRIBUTORS, LLC
December 23, 2011 - April 9, 2014
MML DISTRIBUTORS, LLC
January 4, 2011 - December 9, 2016
MML INVESTORS SERVICES, LLC
November 12, 2009 - July 13, 2010
KESTRA INVESTMENT SERVICES, LLC
February 4, 2009 - August 17, 2009
AXCELUS FINANCIAL DISTRIBUTION COMPANY
March 27, 2003 - February 4, 2009
VP DISTRIBUTORS LLC
March 3, 1995 - August 18, 2003
WS GRIFFITH SECURITIES, INC.
April 26, 1994 - April 17, 1995
POLARIS FINANCIAL SERVICES, INC.
June 29, 1993 - December 31, 1993
CADARET, GRANT & CO., INC.
November 10, 1992 - March 23, 1993
CUNA BROKERAGE SERVICES, 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 STRATEGIC DISTRIBUTORS, LLC
CRD#: 168638 / SEC#: , 8-69322
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 |
| BLUE, DOMINIC | DIRECTOR | 7323924 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DIGANGI, MATTHEW T | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 3229894 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| PUHALA, JAMES | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5290483 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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