Gregorios G. Kombogiannis
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.
Gregorios Georgi Kombogiannis, who also goes by Gregorio Georgios Kombogiannis, Gregorio Kombogiannis, Greg Kombs, Gregorios Georgios Kombogiannis, was a registered financial professional .
Gregorios is a previously registered financial professional and started their career in finance in 1997. Gregorios had worked at 20 firms and has passed the 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
January 25, 2021 - March 25, 2021
MML INVESTORS SERVICES, LLC
March 18, 2019 - April 28, 2020
FARMERS FINANCIAL SOLUTIONS, LLC
April 18, 2014 - December 21, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
June 8, 2012 - April 17, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 15, 2010 - June 22, 2010
VFINANCE INVESTMENTS, INC
July 22, 2009 - April 13, 2010
ANDREW GARRETT INC.
June 8, 2009 - July 22, 2009
WESTROCK ADVISORS, INC.
December 11, 2008 - March 2, 2009
LAMPERT CAPITAL MARKETS INC.
April 30, 2007 - April 1, 2008
MML INVESTORS SERVICES, LLC
September 18, 2006 - December 15, 2006
ANDREW GARRETT INC.
October 19, 2005 - September 21, 2006
OPPENHEIMER & CO. INC.
May 10, 2005 - October 18, 2005
ANDREW GARRETT INC.
April 12, 2005 - May 23, 2005
PARK AVENUE SECURITIES LLC
April 12, 2004 - March 30, 2005
CHASE INVESTMENT SERVICES CORP.
May 20, 2003 - April 19, 2004
METROPOLITAN LIFE INSURANCE COMPANY
May 20, 2003 - April 19, 2004
MSI FINANCIAL SERVICES, INC.
December 19, 2001 - February 12, 2003
BERRY-SHINO SECURITIES, INC.
December 1, 2001 - December 13, 2001
SOURCE CAPITAL GROUP, INC.
June 28, 2000 - December 1, 2001
MERIT CAPITAL ASSOCIATES, INC.
March 10, 1999 - June 26, 2000
FIRST SECURITY INVESTMENTS, INC.
November 9, 1998 - March 19, 1999
STUART, COLEMAN & CO., INC.
December 4, 1997 - February 3, 1999
FIRST LIBERTY INVESTMENT GROUP, INC.
November 18, 1997 - December 12, 1997
MEYERS POLLOCK ROBBINS, INC.
October 5, 1997 - November 10, 1997
RENAISSANCE FINANCIAL SECURITIES CORP.
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.
