Richard J. Varnell
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.
Richard Jason Varnell, who also goes by Jason Varnell, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 13 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
November 11, 2022 - February 7, 2023
MML INVESTORS SERVICES, LLC
March 5, 2018 - November 29, 2021
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 11, 2015 - April 11, 2016
NYLIFE SECURITIES LLC
July 20, 2011 - March 9, 2015
KESTRA INVESTMENT SERVICES, LLC
May 29, 2009 - February 3, 2011
CLARK SECURITIES, INC.
August 8, 2007 - April 2, 2009
KESTRA INVESTMENT SERVICES, LLC
July 30, 2007 - April 2, 2009
KESTRA INVESTMENT SERVICES, LLC
June 19, 2006 - June 21, 2007
CBIZ FINANCIAL SOLUTIONS, INC.
June 8, 2006 - June 21, 2007
CBIZ FINANCIAL SOLUTIONS, INC.
September 14, 2005 - January 13, 2006
TRUIST INVESTMENT SERVICES, INC.
February 8, 2005 - January 13, 2006
TRUIST INVESTMENT SERVICES, INC.
May 3, 2004 - December 31, 2004
NCF FINANCIAL SERVICES, INC.
November 5, 2002 - November 3, 2003
WELLS FARGO CLEARING SERVICES, LLC
December 7, 2001 - April 18, 2002
QUICK & REILLY, INC.
July 11, 2000 - December 14, 2001
CHARLES SCHWAB & CO., INC.
October 13, 1999 - May 12, 2000
HARRISDIRECT LLC
June 30, 1998 - July 30, 1999
FIRST UNION BROKERAGE SERVICES, INC.
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 |
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.
