Mark E. Winburne
Professional summary
Mark Edward Winburne was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Mark Edward Winburne was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1993. Mark had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7 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
March 25, 2017 - July 27, 2017
MML INVESTORS SERVICES, LLC
March 25, 2017 - July 27, 2017
MML INVESTORS SERVICES, LLC
January 10, 2017 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
January 6, 2017 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
March 11, 2016 - December 13, 2016
PRUCO SECURITIES, LLC.
March 3, 2016 - December 13, 2016
PRUCO SECURITIES, LLC.
October 28, 2015 - March 2, 2016
INDEPENDENT FINANCIAL PARTNERS
July 31, 2014 - March 9, 2016
LPL FINANCIAL LLC
July 31, 2014 - March 9, 2016
LPL FINANCIAL LLC
May 3, 2012 - July 30, 2014
INVEST FINANCIAL CORPORATION
May 3, 2012 - July 30, 2014
INVEST FINANCIAL CORPORATION
June 16, 2009 - May 15, 2012
INVESTMENT PROFESSIONALS, INC.
June 16, 2009 - May 15, 2012
INVESTMENT PROFESSIONALS, INC.
January 19, 2007 - June 23, 2009
LPL FINANCIAL LLC
September 20, 2006 - June 23, 2009
LPL FINANCIAL LLC
January 5, 2005 - January 9, 2006
RAYMOND JAMES FINANCIAL SERVICES, INC.
January 22, 2004 - September 7, 2004
CETERA INVESTMENT SERVICES LLC
October 27, 2003 - September 7, 2004
CETERA INVESTMENT SERVICES LLC
December 3, 2002 - October 27, 2003
B. RILEY WEALTH MANAGEMENT
May 20, 1993 - November 22, 2002
MORGAN STANLEY DW 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 | ||
| 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.
