David J. Ryan
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 J Ryan, who also goes by David J Ryan, David John Ryan, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1997. David had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 18, 2020 - February 3, 2021
MML INVESTORS SERVICES, LLC
February 13, 2020 - February 3, 2021
MML INVESTORS SERVICES, LLC
August 16, 2019 - November 8, 2019
NFSG CORPORATION
August 8, 2019 - November 8, 2019
NEWBRIDGE SECURITIES CORPORATION
August 9, 2018 - May 28, 2019
ALLSTATE FINANCIAL ADVISORS, LLC
August 8, 2018 - May 28, 2019
ALLSTATE FINANCIAL SERVICES, LLC
December 5, 2016 - January 25, 2017
VOYA FINANCIAL ADVISORS, INC.
October 31, 2016 - January 25, 2017
VOYA FINANCIAL ADVISORS, INC.
May 3, 2016 - October 13, 2016
PRUCO SECURITIES, LLC.
November 17, 2015 - October 13, 2016
PRUCO SECURITIES, LLC.
October 15, 2008 - September 5, 2013
WALNUT STREET SECURITIES, INC.
October 15, 2008 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
October 15, 2008 - January 2, 2015
NEW ENGLAND SECURITIES
October 15, 2008 - February 23, 2015
MSI FINANCIAL SERVICES, INC.
March 10, 2008 - October 9, 2008
WALNUT STREET SECURITIES, INC.
March 10, 2008 - October 9, 2008
TOWER SQUARE SECURITIES, INC.
March 10, 2008 - October 9, 2008
NEW ENGLAND SECURITIES
March 10, 2008 - September 6, 2013
WALNUT STREET SECURITIES, INC.
March 10, 2008 - September 6, 2013
TOWER SQUARE SECURITIES, INC.
March 10, 2008 - January 2, 2015
NEW ENGLAND SECURITIES
June 27, 2007 - October 9, 2008
MSI FINANCIAL SERVICES, INC.
March 13, 2007 - March 14, 2007
TOWER SQUARE SECURITIES, INC.
September 3, 2004 - March 12, 2007
WALNUT STREET SECURITIES, INC.
September 3, 2004 - March 12, 2007
NEW ENGLAND SECURITIES
November 19, 2001 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
November 19, 2001 - February 23, 2015
MSI FINANCIAL SERVICES, INC.
April 9, 1999 - January 27, 2000
ADP BROKER-DEALER, INC.
August 15, 1997 - June 16, 1998
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES 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.
