Rosemary E. Baker

MML DISTRIBUTORS

SPRINGFIELD, MA 01111

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CRD#: 2297470

Professional summary

Rosemary Eileen Baker, who also goes by Rose Baker, is a registered financial professional currently at MML DISTRIBUTORS, LLC located in Springfield, Massachusetts.

Rosemary is registered as a RR (Registered Representative) and started their career in finance in 1992. Rosemary has worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rose Baker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rosemary Eileen Baker's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 11, 2008 - Present

MML DISTRIBUTORS, LLC

Office #1: 1295 State Street, Springfield, MA 01111

CRD#: 38030

SPRINGFIELD, MA

Past

May 25, 2001 - April 24, 2006

BARINGS SECURITIES LLC

CRD#: 36929

CHARLOTTE, NC

Past

February 2, 1998 - April 12, 2001

WS GRIFFITH SECURITIES, INC.

CRD#: 10410

HARTFORD, CT

Past

December 17, 1992 - November 4, 1997

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Massachusetts
(3/11/2008)

Exams

State Security Law Exam

IAR

Series 66

Date: 5/25/1999

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/29/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 12/14/1992

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/11/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 7/25/1996

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

MML DISTRIBUTORS, LLC

CONNECTICUT MUTUAL FINANCIAL SERVICES, LLC. | MML DISTRIBUTORS, LLC | MML DISTRIBUTORS, LIMITED LIABILITY COMPANY

CRD#: 38030 / SEC#: , 8-48203

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

1295 State Street, Springfield, MA 01111

Mailing Address

1295 State Street, Springfield, MA 01111

Phone number

(413) 737-8400

Established

Connecticut since 11/10/1994

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

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
DUCH III, EDWARD KARL	CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT	4808341
MASSMUTUAL HOLDING LLC	MEMBER
PUHALA, JAMES	CHIEF COMPLIANCE OFFICER	5290483
RISPOLI, FRANK JOSEPH	CHIEF FINANCIAL OFFICER AND TREASURER	4364402
STEELE, DOUGLAS ROBERT	CHIEF EXECUTIVE OFFICER AND PRESIDENT	5026710

Disclosures

Regulatory Event

Red Flags

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Advisor Monitoring

Firm Stability Insights

Rosemary E. Baker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rosemary Eileen Baker's CRS (Customer Relationship Summary).

Certified licenses

Experience

BARINGS SECURITIES LLC

WS GRIFFITH SECURITIES, INC.

VP DISTRIBUTORS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/25/1999

SIE

Date: 10/1/2018

Series 7

Date: 3/29/2000

Series 6

Date: 12/14/1992

Series 24

Date: 1/11/2001

Series 26

Date: 7/25/1996

FINRA

Current Firm

MML DISTRIBUTORS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MML DISTRIBUTORS, LLC

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