David J. Schrank
Professional summary
David Jay Schrank was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
David Jay Schrank was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1995. David had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 20, 2019 - April 21, 2020
MML INVESTORS SERVICES, LLC
June 1, 2017 - April 1, 2019
BANKERS LIFE SECURITIES, INC.
December 6, 2013 - December 13, 2016
SIGNATOR INVESTORS, INC.
July 16, 2012 - December 16, 2013
EQUITABLE ADVISORS, LLC
September 15, 2004 - July 20, 2012
ALLSTATE FINANCIAL SERVICES, LLC
August 13, 2002 - September 23, 2003
METROPOLITAN LIFE INSURANCE COMPANY
August 13, 2002 - September 23, 2003
MSI FINANCIAL SERVICES, INC.
July 20, 2001 - June 20, 2002
MML INVESTORS SERVICES, LLC
February 28, 2001 - May 16, 2001
EQUITABLE ADVISORS, LLC
October 9, 1998 - February 2, 2001
TD AMERITRADE, INC.
August 6, 1998 - October 19, 1998
FIRST PROVIDENCE FINANCIAL GROUP, LLC
February 23, 1998 - August 4, 1998
WALSH MANNING SECURITIES, LLC
May 28, 1997 - March 17, 1998
BARRON CHASE SECURITIES, INC.
March 9, 1996 - June 16, 1997
LCP CAPITAL CORP.
March 30, 1995 - February 29, 1996
KENSINGTON WELLS INCORPORATED
March 16, 1995 - April 12, 1995
DUKE & CO., 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.
