Nathaniel Albea
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.
Nathaniel Albea, who also goes by Nate Albea, Nathaniel Rivera, was a registered financial professional .
Nathaniel is a previously registered financial professional and started their career in finance in 1992. Nathaniel had worked at 16 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 19, 2025 - December 31, 2025
MML INVESTORS SERVICES, LLC
May 19, 2025 - December 31, 2025
MML INVESTORS SERVICES, LLC
September 20, 2023 - August 7, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
September 20, 2023 - August 7, 2024
THRIVENT INVESTMENT MANAGEMENT INC.
April 3, 2023 - September 6, 2023
ALLSTATE FINANCIAL SERVICES, LLC
March 31, 2023 - September 6, 2023
ALLSTATE FINANCIAL ADVISORS, LLC
February 25, 2022 - April 3, 2023
T. ROWE PRICE ADVISORY SERVICES, INC.
February 1, 2022 - April 3, 2023
T. ROWE PRICE INVESTMENT SERVICES, INC.
February 19, 2020 - June 18, 2021
T. ROWE PRICE INVESTMENT SERVICES, INC.
March 7, 2018 - September 13, 2019
NYLIFE SECURITIES LLC
April 30, 2004 - April 18, 2005
MSI FINANCIAL SERVICES, INC.
April 29, 2004 - April 18, 2005
METROPOLITAN LIFE INSURANCE COMPANY
April 29, 2004 - April 18, 2005
MSI FINANCIAL SERVICES, INC.
February 26, 2001 - June 4, 2002
CITICORP INVESTMENT SERVICES
July 21, 2000 - February 21, 2001
MORGAN STANLEY DW INC.
May 11, 2000 - June 26, 2000
IDS LIFE INSURANCE COMPANY
May 11, 2000 - June 26, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
February 17, 1995 - December 15, 1995
INVESTORS ASSOCIATES, INC.
May 20, 1994 - December 16, 1995
QUEST CAPITAL STRATEGIES, INC.
October 30, 1992 - September 22, 1993
TAMARON INVESTMENTS, INC.
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 |
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.
