Walter F. Cronin
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.
Walter F Cronin, who also goes by Rick Cronin, Walter Frederick Cronin, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1996. Walter had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2018 - October 19, 2020
MML DISTRIBUTORS, LLC
May 1, 2018 - August 2, 2018
TRANSAMERICA CAPITAL, LLC
December 2, 2010 - September 29, 2016
TRANSAMERICA CAPITAL, LLC
September 27, 2007 - December 13, 2010
LPL FINANCIAL LLC
September 19, 2005 - December 13, 2010
LPL FINANCIAL LLC
August 28, 2003 - September 19, 2005
INVEST FINANCIAL CORPORATION
July 24, 2003 - August 18, 2003
GLOBAL ATLANTIC DISTRIBUTORS, LLC
July 12, 2002 - July 23, 2003
GLOBAL ATLANTIC DISTRIBUTORS, LLC
August 25, 2000 - May 24, 2002
UBS FINANCIAL SERVICES INC.
September 18, 1996 - August 31, 2000
A. G. EDWARDS & SONS, INC.
May 23, 1996 - September 17, 1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 DISTRIBUTORS, LLC
CRD#: 38030 / SEC#: , 8-48203
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | MEMBER | |
| BAGGETTA, VINCENT COSIMO | CHIEF RISK OFFICER | 2431743 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| MASSMUTUAL HOLDING LLC | MEMBER | |
| PUHALA, JAMES | CHIEF COMPLIANCE OFFICER | 5290483 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| STEELE, DOUGLAS ROBERT | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 5026710 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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