Gene Kim
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.
Gene Kim, CFP® was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1999. Gene had worked at 9 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
November 13, 2019 - April 8, 2024
MML DISTRIBUTORS, LLC
October 2, 2018 - November 1, 2019
DONOGHUE FORLINES LLC
November 21, 2017 - October 24, 2019
NORTHERN LIGHTS DISTRIBUTORS, LLC
February 23, 2015 - October 4, 2016
COMMONWEALTH FINANCIAL NETWORK
January 7, 2015 - October 4, 2016
COMMONWEALTH FINANCIAL NETWORK
March 6, 2013 - December 16, 2014
MOORS & CABOT, INC.
August 20, 2008 - February 17, 2012
OLD MUTUAL INVESTMENT PARTNERS
October 22, 2004 - December 7, 2007
CLARENDON INSURANCE AGENCY, INC.
December 18, 2000 - June 3, 2004
BOFA DISTRIBUTORS, INC.
September 16, 1999 - December 19, 2000
MANUFACTURERS SECURITIES SERVICES, LLC
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 DISTRIBUTORS, LLC
CRD#: 38030 / SEC#: , 8-48203
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 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| MASSMUTUAL HOLDING LLC | MEMBER | |
| PUHALA, JAMES | CHIEF COMPLIANCE OFFICER | 5290483 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| STEELE, DOUGLAS ROBERT | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 5026710 |
Disclosures
| Regulatory Event | 3 |
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.
