Judd M. Arndts
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.
Judd Michael Arndts was a registered financial professional .
Judd is a previously registered financial professional and started their career in finance in 1999. Judd had worked at 9 firms and has passed the Series 66, SIE, 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
October 21, 2015 - December 31, 2019
MML INVESTORS SERVICES, LLC
August 21, 2014 - December 31, 2019
MML INVESTORS SERVICES, LLC
January 14, 2011 - January 8, 2013
NYLIFE SECURITIES LLC
May 14, 2010 - July 13, 2010
THE HUNTINGTON INVESTMENT COMPANY
May 14, 2010 - July 13, 2010
THE HUNTINGTON INVESTMENT COMPANY
January 22, 2010 - April 21, 2010
CHASE INVESTMENT SERVICES CORP.
January 22, 2010 - April 21, 2010
CHASE INVESTMENT SERVICES CORP.
November 13, 2009 - January 4, 2010
PNC WEALTH MANAGEMENT LLC
November 13, 2009 - January 4, 2010
PNC WEALTH MANAGEMENT LLC
September 7, 2007 - November 13, 2009
NATCITY INVESTMENTS, INC.
September 27, 2006 - November 13, 2009
NATCITY INVESTMENTS, INC.
April 7, 2006 - August 3, 2006
KEY INVESTMENT SERVICES LLC
April 5, 2006 - August 3, 2006
KEY INVESTMENT SERVICES LLC
February 14, 2005 - February 28, 2006
FIFTH THIRD SECURITIES, INC.
July 18, 2002 - February 28, 2006
FIFTH THIRD SECURITIES, INC.
June 2, 1999 - April 26, 2002
MORGAN STANLEY DW 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.
