Philip Sabio
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.
Philip Sabio, who also goes by Philip Laslo Sabio, was a registered financial professional .
Philip is a previously registered financial professional and started their career in finance in 1998. Philip had worked at 14 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 6, Series 31 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
March 25, 2024 - December 16, 2025
MML INVESTORS SERVICES, LLC
March 14, 2024 - December 16, 2025
MML INVESTORS SERVICES, LLC
November 4, 2022 - February 2, 2024
EQUITABLE ADVISORS, LLC
November 4, 2022 - February 2, 2024
EQUITABLE ADVISORS, LLC
March 8, 2022 - November 21, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
March 7, 2022 - November 21, 2022
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
January 5, 2021 - February 25, 2022
CETERA INVESTMENT ADVISERS LLC
January 4, 2021 - February 25, 2022
CETERA INVESTMENT SERVICES LLC
June 15, 2020 - January 4, 2021
OSAIC FA, INC.
November 20, 2019 - January 4, 2021
OSAIC FA, INC.
April 18, 2017 - December 17, 2019
AMERITAS INVESTMENT COMPANY, LLC
November 27, 2015 - March 7, 2016
MML INVESTORS SERVICES, LLC
April 8, 2015 - June 17, 2015
MML INVESTORS SERVICES, LLC
October 1, 2014 - November 26, 2014
PARK AVENUE SECURITIES LLC
April 25, 2013 - March 12, 2014
PRUCO SECURITIES, LLC.
August 13, 2012 - March 12, 2014
PRUCO SECURITIES, LLC.
October 16, 2001 - April 11, 2002
CUNA BROKERAGE SERVICES, INC.
October 10, 2000 - October 1, 2001
INVEST FINANCIAL CORPORATION
August 6, 1998 - October 11, 2000
MORGAN STANLEY DW INC.
June 12, 1998 - July 28, 1998
IDS LIFE INSURANCE COMPANY
June 12, 1998 - July 28, 1998
AMERIPRISE FINANCIAL 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
Series 7TO
Date: 1/4/2022
General Securities 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 |
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.
