Jeffrey Stephano
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.
Jeffrey Stephano, who also goes by Jeff Stephano, was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 2000. Jeffrey had worked at 8 firms and has passed the Series 66, 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
March 25, 2017 - December 31, 2023
MML INVESTORS SERVICES, LLC
March 25, 2017 - December 31, 2023
MML INVESTORS SERVICES, LLC
December 7, 2005 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
December 6, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
December 6, 2005 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
December 1, 2004 - December 31, 2005
CITISTREET FINANCIAL SERVICES LLC
November 26, 2004 - December 31, 2005
CITISTREET EQUITIES LLC
August 2, 2004 - September 22, 2004
QUICK & REILLY, INC.
July 30, 2004 - September 22, 2004
QUICK & REILLY, INC.
January 2, 2002 - April 19, 2004
MSI FINANCIAL SERVICES, INC.
December 4, 2001 - April 19, 2004
METROPOLITAN LIFE INSURANCE COMPANY
December 4, 2001 - April 19, 2004
MSI FINANCIAL SERVICES, INC.
June 27, 2000 - November 27, 2001
IDS LIFE INSURANCE COMPANY
June 27, 2000 - November 27, 2001
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.
