Sean D. Spellman
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.
Sean David Spellman was a registered financial professional .
Sean is a previously registered financial professional and started their career in finance in 2000. Sean had worked at 16 firms and has passed the Series 65, Series 63, SIE 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
November 8, 2023 - September 19, 2024
MML INVESTORS SERVICES, LLC
October 25, 2023 - September 19, 2024
MML INVESTORS SERVICES, LLC
June 1, 2022 - February 7, 2023
PERSHING ADVISOR SOLUTIONS LLC
September 13, 2021 - February 7, 2023
BNY ADVISORS
April 22, 2016 - September 10, 2021
BNY ADVISORS
April 22, 2016 - February 7, 2023
PERSHING LLC
August 21, 2014 - November 3, 2015
SEI INVESTMENTS MANAGEMENT CORP
August 21, 2014 - November 3, 2015
SEI INVESTMENTS DISTRIBUTION CO.
August 24, 2007 - September 5, 2013
WALNUT STREET SECURITIES, INC.
August 24, 2007 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
August 24, 2007 - July 17, 2014
NEW ENGLAND SECURITIES
August 24, 2007 - July 17, 2014
MSI FINANCIAL SERVICES, INC.
June 22, 2007 - September 6, 2013
WALNUT STREET SECURITIES, INC.
June 22, 2007 - September 6, 2013
TOWER SQUARE SECURITIES, INC.
June 22, 2007 - July 17, 2014
NEW ENGLAND SECURITIES
June 22, 2007 - July 17, 2014
MSI FINANCIAL SERVICES, INC.
May 16, 2005 - May 4, 2007
PNC WEALTH MANAGEMENT LLC
October 25, 2004 - May 4, 2007
PNC WEALTH MANAGEMENT LLC
November 25, 2002 - October 15, 2004
ESSEX NATIONAL SECURITIES, LLC
October 1, 2000 - October 2, 2002
WELLS FARGO CLEARING SERVICES, LLC
July 19, 2000 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
February 24, 2000 - June 6, 2000
IDS LIFE INSURANCE COMPANY
February 24, 2000 - June 6, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
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 | ||
| 12/19/2022 |
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.
