Elaine K. Gruet
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.
Elaine Karen Gruet, who also goes by Elaine K Gruet, was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 1992. Elaine had worked at 3 firms and has passed the Series 65, SIE, Series 7, Series 6, Series 24 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
December 11, 2012 - May 14, 2013
MMLISI FINANCIAL ALLIANCES, LLC
March 15, 2007 - May 23, 2017
MML INVESTORS SERVICES, LLC
March 31, 2003 - June 30, 2004
WS GRIFFITH SECURITIES, INC.
November 12, 1992 - June 30, 2004
WS GRIFFITH SECURITIES, 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
MMLISI FINANCIAL ALLIANCES, LLC
CRD#: 119003 / SEC#: 801-68596, 8-53707
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MML INVESTORS SERVICES, LLC | OWNER | 10409 |
| HALL, NATHAN | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 6072737 |
| ROGAN, JOHN ROBERT | DIRECTOR | 5093309 |
| ROSENTHAL, ROBERT STEVEN | SECRETARY AND CHIEF LEGAL OFFICER | 2590788 |
| SAJDAK, JEFFREY MICHAEL | DIRECTOR | 4490432 |
| SCANLON, SUSAN JOANN | CHIEF COMPLIANCE OFFICER | 1371255 |
| SCHILDGEN, ARTHUR WILLIAM JR | ASSISTANT VICE PRESIDENT | 2853961 |
| VACCARO, JOHN ARTHUR | DIRECTOR | 2264004 |
| YOUMELL, EDWARD DEAN | PRESIDENT | 4338114 |
Red Flags
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