Demetrio J. Munoz
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.
Demetrio Joselito Munoz III, who also goes by Demetrio J Munoz III, Demetrio Joselito Munoz, Demetrio Joselito Munoz III, was a registered financial professional .
Demetrio is a previously registered financial professional and started their career in finance in 1994. Demetrio had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 8, 2024 - September 5, 2025
MML INVESTORS SERVICES, LLC
October 8, 2024 - September 5, 2025
MML INVESTORS SERVICES, LLC
September 30, 2020 - September 9, 2024
PARK AVENUE SECURITIES LLC
August 28, 2020 - September 9, 2024
PARK AVENUE SECURITIES LLC
November 30, 2016 - June 24, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 29, 2016 - June 24, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 2013 - October 17, 2016
VFG ADVISORS, INC.
August 27, 2012 - October 17, 2016
VFG SECURITIES, INC.
March 9, 2012 - September 26, 2012
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 13, 2006 - December 31, 2011
BROKERSXPRESS LLC
August 27, 2002 - September 25, 2006
EQUITY SERVICES, INC.
August 12, 2002 - September 25, 2006
EQUITY SERVICES, INC.
June 13, 2001 - May 13, 2002
CROWELL, WEEDON & CO.
October 11, 2000 - May 24, 2001
NATHAN & LEWIS SECURITIES, INC.
June 16, 1999 - October 16, 2000
SIGNATOR INVESTORS, INC.
February 10, 1998 - February 8, 1999
PRUCO SECURITIES, LLC.
October 18, 1995 - December 31, 1996
SUNSET FINANCIAL SERVICES, INC.
March 7, 1995 - October 20, 1995
LOCUST STREET SECURITIES, INC.
June 14, 1994 - January 30, 1995
NYLIFE SECURITIES LLC
January 1, 1994 - May 5, 1994
METROPOLITAN LIFE INSURANCE COMPANY
January 1, 1994 - May 5, 1994
MSI FINANCIAL SERVICES, 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.
