David C. Lowell
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.
David Christopher Lowell, who also goes by Chris Lowell, David C Lowell, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1996. David had worked at 13 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 31, Series 7, Series 24, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2025 - November 24, 2025
MML INVESTORS SERVICES, LLC
March 28, 2025 - November 24, 2025
MML INVESTORS SERVICES, LLC
June 20, 2022 - January 16, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 17, 2022 - January 16, 2025
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2019 - June 22, 2022
CETERA INVESTMENT ADVISERS LLC
September 25, 2019 - June 22, 2022
CETERA INVESTMENT SERVICES LLC
March 29, 2019 - September 25, 2019
SW FINANCIAL
July 31, 2018 - March 20, 2019
RAYMOND JAMES & ASSOCIATES, INC.
July 31, 2018 - March 20, 2019
RAYMOND JAMES & ASSOCIATES, INC.
October 30, 2017 - August 2, 2018
WELLS FARGO CLEARING SERVICES, LLC
September 20, 2017 - August 2, 2018
WELLS FARGO CLEARING SERVICES, LLC
April 4, 2017 - November 1, 2017
DEMOCRACY FUNDING LLC
May 25, 2010 - December 19, 2016
BOK FINANCIAL SECURITIES, INC.
December 21, 2009 - December 19, 2016
BOK FINANCIAL SECURITIES, INC.
November 19, 2008 - January 11, 2010
HIMCO DISTRIBUTION SERVICES COMPANY
September 21, 2007 - October 21, 2008
MML INVESTORS SERVICES, LLC
May 21, 2002 - March 2, 2007
MORGAN STANLEY DW INC.
April 6, 1998 - March 2, 2007
MORGAN STANLEY DW INC.
August 8, 1997 - April 16, 1998
PRINCIPAL FINANCIAL SECURITIES,INC.
November 19, 1996 - August 13, 1997
GEARY SECURITIES, INC.
February 8, 1996 - October 2, 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
Series 99TO
Date: 1/2/2023
Operations Professional 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 |
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.
