Bertram R. Easley
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.
Bertram Reginald Easley, who also goes by Bert Easley, Bertram R. Easley, was a registered financial professional .
Bertram is a previously registered financial professional and started their career in finance in 2000. Bertram had worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 6 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
June 23, 2014 - February 27, 2015
MML STRATEGIC DISTRIBUTORS, LLC
March 20, 2014 - July 9, 2014
MML DISTRIBUTORS, LLC
March 20, 2014 - February 27, 2015
MML INVESTORS SERVICES, LLC
June 19, 2002 - June 11, 2003
U.S. BANCORP INVESTMENTS, INC.
February 14, 2002 - March 4, 2002
AMERIPRISE ADVISOR SERVICES, INC.
October 18, 2000 - September 6, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
October 18, 2000 - September 6, 2001
VALIC FINANCIAL ADVISORS, INC.
February 7, 2000 - September 12, 2000
PRUDENTIAL EQUITY GROUP, 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 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.
Check for any disclosures as part of your thorough research when choosing an advisor.
