David P. Boucher
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 Paul Boucher, who also goes by David Paul Blocher, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 11 firms and has passed the Series 63, SIE 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
March 25, 2017 - April 9, 2019
MML INVESTORS SERVICES, LLC
March 25, 2017 - April 9, 2019
MML INVESTORS SERVICES, LLC
June 3, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
April 4, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
April 1, 2014 - August 1, 2014
KESTRA INVESTMENT SERVICES, LLC
July 14, 2011 - April 1, 2014
INDEPENDENT FINANCIAL PARTNERS
November 30, 2010 - April 8, 2014
LPL FINANCIAL LLC
March 11, 2008 - December 1, 2010
NRP ADVISORS, INC.
June 1, 2007 - October 20, 2008
NRP FINANCIAL, INC.
May 25, 2007 - November 30, 2010
NRP FINANCIAL, INC.
October 28, 2004 - May 25, 2007
OGILVIE SECURITY ADVISORS CORPORATION
February 7, 2003 - May 25, 2007
OGILVIE SECURITY ADVISORS CORPORATION
June 27, 2002 - November 22, 2002
DOMINARI SECURITIES LLC
December 19, 2000 - August 1, 2002
EPSILON MANAGEMENT SERVICES, INC.
January 15, 1999 - June 22, 2000
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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.
