Neil Alexander
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.
Neil Alexander was a registered financial advisor .
Neil is a previously registered financial advisor and started their career in finance in 1973. Neil had worked at 24 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 2002 - October 2, 2006
MML INVESTORS SERVICES, LLC
October 24, 2001 - October 2, 2006
MML INVESTORS SERVICES, LLC
October 15, 1998 - August 29, 2001
FINANCIAL WEST GROUP
January 2, 1996 - September 14, 1998
MUTUAL SERVICE CORPORATION
April 19, 1994 - December 16, 1995
BROOKSTREET SECURITIES CORPORATION
March 5, 1992 - July 27, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
March 5, 1992 - July 27, 1993
PRUCO SECURITIES, LLC.
March 11, 1988 - February 28, 1990
MUNICICORP OF CALIFORNIA
October 13, 1987 - January 19, 1988
HAGAR SECURITIES CORPORATION
August 7, 1987 - September 24, 1987
SENTRA SECURITIES CORPORATION
June 2, 1987 - January 15, 1988
TOLUCA PACIFIC SECURITIES CORP.
August 19, 1986 - December 9, 1986
INTEGRATED RESOURCES EQUITY CORPORATION
February 28, 1986 - August 18, 1986
GREEN HILL FINANCIAL SERVICE CORPORATION
November 22, 1985 - February 14, 1986
AMERICAN PACIFIC SECURITIES CORPORATION
March 23, 1983 - March 21, 1986
ALEXANDER ASSOCIATES INCORPORATED
March 7, 1983 - May 17, 1983
TITAN/VALUE EQUITIES GROUP, INC.
September 23, 1982 - February 24, 1983
SILVERSTEIN FINANCIAL SERVICES, INC.
January 28, 1980 - November 15, 1982
LPL FINANCIAL LLC
June 29, 1979 - December 20, 1979
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
November 16, 1978 - July 18, 1979
CIBC WORLD MARKETS CORP.
April 12, 1977 - May 6, 1977
LOEB, RHOADES & CO., INCORPORATED
October 18, 1976 - May 14, 1977
SUTRO & CO. INCORPORATED
April 1, 1976 - November 21, 1976
STERN, FRANK, MEYER & FOX, INCORPORATED
November 27, 1973 - January 7, 1974
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
August 7, 1973 - November 1, 1973
BLYTH EASTMAN DILLON & CO. INCORPORATED
June 25, 1973 - September 1, 1973
SHEARSON, HAMMILL & CO., INCORPORATED
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 1
Date: 6/21/1973
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.
