Roger D. Aucoin
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.
Roger Daniel Aucoin, who also goes by Roger Daniel Aucoin Jr, Roger Daniel Aucoin, was a registered financial professional .
Roger is a previously registered financial professional and started their career in finance in 2001. Roger had worked at 8 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
July 21, 2021 - March 17, 2023
MML STRATEGIC DISTRIBUTORS, LLC
April 1, 2014 - February 19, 2019
MML STRATEGIC DISTRIBUTORS, LLC
March 12, 2013 - April 1, 2014
MML DISTRIBUTORS, LLC
May 17, 2011 - March 17, 2023
MML INVESTORS SERVICES, LLC
December 11, 2007 - May 27, 2009
TRANSAMERICA CAPITAL, LLC
March 17, 2006 - December 4, 2007
PACIFIC SELECT DISTRIBUTORS, LLC
June 20, 2005 - March 13, 2006
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
December 4, 2002 - June 30, 2005
ADVEST, INC.
January 24, 2001 - October 28, 2002
VERAVEST INVESTMENTS, INC.
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 STRATEGIC DISTRIBUTORS, LLC
CRD#: 168638 / SEC#: , 8-69322
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY | MEMBER | |
| BAGGETTA, VINCENT COSIMO | CHIEF RISK OFFICER | 2431743 |
| BLUE, DOMINIC | DIRECTOR | 7323924 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DIGANGI, MATTHEW T | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 3229894 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| PUHALA, JAMES | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5290483 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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