Rodney G. Mogen

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CRD#: 3230658

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.

Rodney Garrick Mogen was a registered financial professional .

Rodney is a previously registered financial professional and started their career in finance in 1999. Rodney had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

March 5, 2020 - November 15, 2023

MML INVESTORS SERVICES, LLC

CRD#: 10409

Austin, TX

Past

September 25, 2017 - April 18, 2018

LPL FINANCIAL LLC

CRD#: 6413

AUSTIN, TX

Past

April 5, 2016 - November 14, 2016

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

SAN ANTONIO, TX

Past

October 23, 2013 - December 3, 2014

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

July 26, 2010 - April 10, 2012

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

IRVING, TX

Past

January 15, 2008 - July 23, 2010

MSI FINANCIAL SERVICES, INC.

RIA

CRD#: 14251

AUSTIN, TX

Past

January 11, 2008 - July 23, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

AUSTIN, TX

Past

April 15, 2002 - January 2, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

AUSTIN, TX

Past

July 20, 1999 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 20, 1999 - January 2, 2008

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

AUSTIN, TX

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MML INVESTORS SERVICES, LLC

CRD#: 10409 / SEC#: 801-44264, 8-27250

RIA

Registered Investment Advisory firm - SEC (7/13/1993 Approved)

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

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 4/12/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/26/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/18/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/19/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/24/2008

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 2/6/2008

Investment Company Products/Variable Contracts Principal Examination

Current Firm

MML INVESTORS SERVICES, LLC

CRD#: 10409 / SEC#: 801-44264, 8-27250

RIA

Registered Investment Advisory firm - SEC (7/13/1993 Approved)

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

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Contact information

Main Address

1295 State Street, Springfield, MA 01111-0001

Mailing Address

1295 State Street, Springfield, MA 01111-0001

Phone number

(413) 737-8400

Established

Massachusetts since 01/01/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

7,056

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV (THIRD PARTY PROGRAMS) (11/13/2025)

FORM ADV PART 2A FOR MML PLAN SOLUTIONS (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - ADVISOR SELECT (10/6/2025)

PART 2A BROCHURE MASSMUTUAL PLAN FIDUCIARY SERVICES PROGRAM (10/6/2025)

PORTFOLIO SOLUTIONS PROGRAMS WRAP FEE BROCHURE (10/6/2025)

PART 2 A APPENDIX 1 OF FORM ADV - SMA SELECT (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - STRATEGIST SELECT AND STRATEGIST SELECT MF ONLY (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - UMA SELECT PREMIER AND UMA SELECT PREMIER MF ONLY (10/6/2025)

VALIANCE INVESTMENT PROGRAMS (10/6/2025)

WMS ORION DISCLOSURE BROCHURE (10/6/2025)

WMS ADVISORY ANNUITIES DISCLOSURE BROCHURE (7/1/2025)

PART 2A OF FORM ADV (BAYSTATE AND NEWSQUARE) (7/1/2025)

FINANCIAL PLANNING SERVICES ADV BROCHURE (3/28/2025)

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	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
12/19/2022	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Rodney G. Mogen

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

SECURIAN FINANCIAL SERVICES, INC.

GUARDIAN INVESTOR SERVICES LLC

HIMCO DISTRIBUTION SERVICES COMPANY

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/12/2002

Series 63

Date: 5/26/1999

SIE

Date: 4/18/2018

Series 7

Date: 7/19/1999

Series 24

Date: 7/24/2008

Series 26

Date: 2/6/2008

Current Firm

MML INVESTORS SERVICES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MML INVESTORS SERVICES, LLC

TRUST BUT VERIFY

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