Curt Giacobbe
Professional summary
Curt Giacobbe was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Curt is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Curt had worked at 9 firms, which includes MML INVESTORS SERVICES LLC, EAGLE STRATEGIES LLC, NYLIFE SECURITIES LLC, SIGNATOR INVESTORS INC., METROPOLITAN LIFE INSURANCE COMPANY, MSI FINANCIAL SERVICES INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, HORNOR TOWNSEND & KENT LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2017 - December 23, 2019
MML INVESTORS SERVICES, LLC
March 15, 2012 - December 23, 2019
MML INVESTORS SERVICES, LLC
October 31, 2011 - February 22, 2012
EAGLE STRATEGIES LLC
February 14, 2011 - February 22, 2012
NYLIFE SECURITIES LLC
August 16, 2010 - January 19, 2011
SIGNATOR INVESTORS, INC.
March 6, 2008 - September 2, 2010
MML INVESTORS SERVICES, LLC
March 5, 2008 - September 2, 2010
MML INVESTORS SERVICES, LLC
March 24, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
March 24, 2005 - March 3, 2008
MSI FINANCIAL SERVICES, INC.
January 10, 2005 - March 30, 2005
IDS LIFE INSURANCE COMPANY
January 10, 2005 - March 30, 2005
AMERIPRISE FINANCIAL SERVICES, LLC
December 7, 1995 - January 19, 1999
HORNOR, TOWNSEND & KENT, 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.
