Joseph P. Laleman
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.
Joseph Patrick Laleman, who also goes by Joe Laleman, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 12 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
June 16, 2016 - November 17, 2016
MML INVESTORS SERVICES, LLC
December 22, 2011 - August 19, 2014
PRUCO SECURITIES, LLC.
February 24, 2005 - November 30, 2010
AUSDAL FINANCIAL PARTNERS, INC.
February 14, 2005 - November 30, 2010
AUSDAL FINANCIAL PARTNERS, INC.
October 6, 2004 - February 11, 2005
FINTEGRA, LLC
August 20, 2004 - October 13, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
August 20, 2004 - October 13, 2004
IDS LIFE INSURANCE COMPANY
August 20, 2004 - October 13, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
September 30, 2002 - August 19, 2004
RAYMOND JAMES FINANCIAL SERVICES, INC.
April 2, 2002 - October 17, 2002
EQUITABLE ADVISORS, LLC
February 26, 2002 - October 17, 2002
EQUITABLE ADVISORS, LLC
August 9, 2001 - February 15, 2002
WALNUT STREET SECURITIES, INC.
December 4, 2000 - June 22, 2001
ONEAMERICA SECURITIES, INC.
December 4, 2000 - June 22, 2001
AMERICAN UNITED LIFE INSURANCE COMPANY
December 4, 1998 - September 28, 1999
PRUCO SECURITIES, LLC.
September 26, 1997 - November 19, 1998
COUNTRY CAPITAL MANAGEMENT COMPANY
November 7, 1994 - August 12, 1997
PRUCO SECURITIES, 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.
