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Anne K. Walker

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CRD#: 3147541
AW

Professional summary

Anne Katherine Walker was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Anne is a previously registered financial professional and started their career in finance in 1998. Prior to being barred, Anne had worked at 6 firms, which includes MML DISTRIBUTORS LLC, TALCOTT RESOLUTION DISTRIBUTION COMPANY INC., GLOBAL ATLANTIC DISTRIBUTORS LLC, DIRECTED SERVICES LLC, FORESIDE FUNDS DISTRIBUTORS LLC, VANGUARD MARKETING CORPORATION.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Anne Katherine Flanagan | Katie Flanagan | Katie Walker

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 2, 2013 - February 21, 2014

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
PHOENIX, AZ
Past

February 25, 2011 - January 2, 2013

TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.

BD
CRD#: 37819
PHOENIX, AZ
Past

August 26, 2010 - February 25, 2011

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
PHOENIX, AZ
Past

February 3, 2004 - March 27, 2009

DIRECTED SERVICES LLC

BD
CRD#: 21675
PHOENIX, AZ
Past

September 13, 2002 - February 2, 2004

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT
Past

September 24, 1999 - January 5, 2001

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
PORTLAND, ME
Past

December 7, 1998 - January 12, 1999

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/28/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 12/3/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

MD
MML DISTRIBUTORS, LLC
CONNECTICUT MUTUAL FINANCIAL SERVICES, LLC. | MML DISTRIBUTORS, LLC | MML DISTRIBUTORS, LIMITED LIABILITY COMPANY

CRD#: 38030 / SEC#: , 8-48203

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
1295 State Street, Springfield, MA 01111
Mailing Address
1295 State Street, Springfield, MA 01111
Phone number
(413) 737-8400
Established
Connecticut since 11/10/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYMEMBER
BAGGETTA, VINCENT COSIMOCHIEF RISK OFFICER2431743
DUCH III, EDWARD KARLCHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT4808341
MASSMUTUAL HOLDING LLCMEMBER
PUHALA, JAMESCHIEF COMPLIANCE OFFICER5290483
RISPOLI, FRANK JOSEPHCHIEF FINANCIAL OFFICER AND TREASURER4364402
STEELE, DOUGLAS ROBERTCHIEF EXECUTIVE OFFICER AND PRESIDENT5026710

Disclosures

Regulatory Event3

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.

Company Information

MML DISTRIBUTORS, LLC

CRD#: 38030

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