Donald S. Kerr
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.
Donald Scott Kerr, who also goes by D. Scott Kerr, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1972. Donald had worked at 14 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 25, 2010 - September 30, 2024
MML INVESTORS SERVICES, LLC
October 25, 2010 - September 30, 2024
MML INVESTORS SERVICES, LLC
January 4, 2010 - September 7, 2010
TRUSTMONT FINANCIAL GROUP, INC.
September 8, 2009 - December 31, 2009
LPL FINANCIAL LLC
September 8, 2009 - December 31, 2009
LPL FINANCIAL LLC
March 15, 2007 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
May 16, 2005 - September 8, 2009
WATERSTONE FINANCIAL GROUP, INC.
January 3, 2005 - May 17, 2005
WFG ADVISORS, LP
January 3, 2005 - May 17, 2005
WFG INVESTMENTS, INC.
July 15, 2004 - December 31, 2004
PRO-INTEGRITY SECURITIES, INC.
October 2, 2002 - July 13, 2004
HACKETT ASSOCIATES, INC.
June 15, 1999 - October 1, 2002
WALNUT STREET ADVISERS INC
May 16, 1989 - October 1, 2002
WALNUT STREET SECURITIES, INC.
April 22, 1983 - August 5, 1989
MML INVESTORS SERVICES, LLC
August 22, 1979 - January 2, 1988
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY
December 12, 1973 - April 30, 1979
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 21, 1972 - December 1, 1973
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
April 21, 1972 - December 1, 1973
OSAIC FA, 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/17/1972
Registered Representative ExaminationCurrent 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.
