Roger Araiza
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.
Roger Araiza was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 1994. Roger had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 6, 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
January 4, 2016 - June 24, 2016
MML INVESTORS SERVICES, LLC
December 14, 2015 - June 24, 2016
MML INVESTORS SERVICES, LLC
October 16, 2014 - November 19, 2015
FIRST ADVISORS NATIONAL, LLC
September 6, 2013 - December 12, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 23, 2012 - December 12, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 20, 2006 - August 8, 2008
HARRISDIRECT LLC
October 20, 2006 - August 8, 2008
E*TRADE SECURITIES LLC
October 26, 2004 - October 23, 2006
ADVISORS ASSET MANAGEMENT, INC.
September 30, 2002 - October 23, 2006
ADVISORS ASSET MANAGEMENT, INC.
September 1, 1998 - October 9, 2002
USAA INVESTMENT SERVICES COMPANY
August 31, 1998 - October 9, 2002
USAA INVESTMENT SERVICES COMPANY
February 13, 1998 - August 21, 1998
BANK UNITED SECURITIES CORP.
June 10, 1996 - January 26, 1998
NATIONAL CLEARING CORP.
February 14, 1996 - May 3, 1996
IDS LIFE INSURANCE COMPANY
February 14, 1996 - May 3, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
November 7, 1994 - January 18, 1996
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.
