Frank R. Bongiorno
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 Robert Bongiorno, who also goes by Frank Robert Bongiorno Mr., was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1992. Frank had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
November 16, 2017 - January 9, 2018
MML INVESTORS SERVICES, LLC
November 19, 2015 - December 23, 2015
M&T SECURITIES, INC.
November 17, 2015 - December 23, 2015
M&T SECURITIES, INC.
January 28, 2015 - June 23, 2015
CAPITAL ONE ADVISORS, LLC
January 2, 2015 - June 23, 2015
CAPITAL ONE INVESTING, LLC
November 18, 2013 - January 28, 2015
CAPITAL ONE FINANCIAL ADVISORS LLC
October 16, 2013 - January 2, 2015
CAPITAL ONE INVESTMENT SERVICES LLC
October 24, 2011 - June 7, 2013
LINCOLN FINANCIAL DISTRIBUTORS, INC.
December 3, 2009 - October 10, 2011
SIGNATOR FINANCIAL SERVICES, INC.
August 6, 2009 - November 23, 2009
LPL FINANCIAL LLC
May 31, 2005 - April 21, 2009
JOHN HANCOCK DISTRIBUTORS LLC
May 10, 2001 - March 7, 2006
ESSEX NATIONAL SECURITIES, LLC
December 18, 1996 - May 15, 2001
BNY MELLON SECURITIES CORPORATION
February 7, 1996 - August 29, 1996
INVESTORS ASSOCIATES, INC.
March 2, 1995 - October 2, 1995
LANDMARK INTERNATIONAL EQUITIES
December 14, 1994 - February 28, 1995
S. D. COHN & CO., INC.
May 20, 1994 - December 19, 1994
H G I
November 10, 1992 - June 17, 1993
PRUCO SECURITIES, 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
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.
