Albert L. St. Pierre
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.
Albert Leonard St. Pierre, who also goes by Al St Pierre, Albert Leonard St Pierre, was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1993. Albert had worked at 13 firms and has passed the Series 65, Series 63, Series 7, Series 9, Series 10 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 7, 2012 - November 12, 2012
MML INVESTORS SERVICES, LLC
September 21, 2010 - January 25, 2012
NYLIFE SECURITIES LLC
April 28, 2008 - September 7, 2010
COMMERCE BROKERAGE SERVICES, INC.
April 28, 2008 - September 7, 2010
COMMERCE BROKERAGE SERVICES, INC.
October 20, 2006 - April 21, 2008
MSI FINANCIAL SERVICES, INC.
October 2, 2006 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
October 2, 2006 - April 21, 2008
MSI FINANCIAL SERVICES, INC.
October 31, 2005 - October 10, 2006
OSAIC SERVICES, INC.
August 20, 2004 - October 13, 2006
THE HOUSEHOLDER GROUP, ESTATE & RETIREMENT SPECIALISTS
July 21, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
July 22, 2002 - July 9, 2004
METROPOLITAN LIFE INSURANCE COMPANY
July 22, 2002 - July 9, 2004
MSI FINANCIAL SERVICES, INC.
July 19, 2002 - July 9, 2004
MSI FINANCIAL SERVICES, INC.
November 29, 2001 - June 14, 2002
FARMERS FINANCIAL SOLUTIONS, LLC
January 16, 2001 - July 13, 2001
PRUDENTIAL EQUITY GROUP, LLC
October 6, 1998 - February 8, 2001
PRUCO SECURITIES, LLC.
September 29, 1993 - July 13, 1998
IDS LIFE INSURANCE COMPANY
September 29, 1993 - July 13, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
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.
