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EM

Ellen M. Milne

MML INVESTORS SERVICES
SPRINGFIELD, MA 01111
Some features on this profile are disabled
CRD#: 2384139
EM

Professional summary

Ellen Marie Milne, who also goes by Ellen Marie Milne, Ellen Milne, Ellen Spellman, is a registered financial professional currently at MML INVESTORS SERVICES, LLC located in Springfield, Massachusetts and MML STRATEGIC DISTRIBUTORS, LLC located in Springfield, Massachusetts.

Ellen is registered as a RR (Registered Representative) and started their career in finance in 1997. Ellen has worked at 4 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ellen Marie Milne | Ellen Milne | Ellen Spellman

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 Ellen Marie Milne'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

June 8, 2010 - Present

MML INVESTORS SERVICES, LLC

Office #1: 1295 State Street, Springfield, MA 01111
RIA
BD
CRD#: 10409
SPRINGFIELD, MA
Current

April 1, 2014 - Present

MML STRATEGIC DISTRIBUTORS, LLC

Office #1: 1295 State Street, Springfield, MA 01111
BD
CRD#: 168638
SPRINGFIELD, MA
Current

April 12, 2022 - Present

MML DISTRIBUTORS, LLC

Office #1: 1295 State Street, Springfield, MA 01111
BD
CRD#: 38030
SPRINGFIELD, MA
Past

May 20, 2003 - August 20, 2007

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
ENFIELD, CT
Past

May 20, 2003 - April 1, 2014

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA
Past

April 7, 1997 - January 13, 2003

VERAVEST INVESTMENTS, INC.

BD
CRD#: 3960
WORCESTER, MA

State Registrations and Notice Filings

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

RR
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

RR
Massachusetts
(4/12/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/7/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 4/4/1997
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 8/18/2003
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

BD
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYMEMBER
BAGGETTA, VINCENT COSIMOCHIEF RISK OFFICER2431743
DUCH III, EDWARD KARLCHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT4808341
MASSMUTUAL HOLDING LLCMEMBER
PUHALA, JAMESCHIEF COMPLIANCE OFFICER5290483
RISPOLI, FRANK JOSEPHCHIEF FINANCIAL OFFICER AND TREASURER4364402
STEELE, DOUGLAS ROBERTCHIEF EXECUTIVE OFFICER AND PRESIDENT5026710

Disclosures

Regulatory Event3

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.

Company Information

MML DISTRIBUTORS, LLC

CRD#: 38030Springfield, MA 01111

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