Mark A. Larose
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.
Mark Anthony Larose was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2000. Mark had worked at 5 firms and has passed the Series 99TO, SIE, Series 7, Series 53, Series 4, Series 27 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2009 - December 20, 2012
MMLISI FINANCIAL ALLIANCES, LLC
October 12, 2009 - December 20, 2012
MML DISTRIBUTORS, LLC
January 23, 2009 - June 9, 2025
MML INVESTORS SERVICES, LLC
June 5, 2006 - January 20, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
September 21, 2000 - July 1, 2005
TOWER SQUARE SECURITIES, INC.
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
MMLISI FINANCIAL ALLIANCES, LLC
CRD#: 119003 / SEC#: 801-68596, 8-53707
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MML INVESTORS SERVICES, LLC | OWNER | 10409 |
| HALL, NATHAN | TREASURER AND FINANCIAL OPERATIONS PRINCIPAL | 6072737 |
| ROGAN, JOHN ROBERT | DIRECTOR | 5093309 |
| ROSENTHAL, ROBERT STEVEN | SECRETARY AND CHIEF LEGAL OFFICER | 2590788 |
| SAJDAK, JEFFREY MICHAEL | DIRECTOR | 4490432 |
| SCANLON, SUSAN JOANN | CHIEF COMPLIANCE OFFICER | 1371255 |
| SCHILDGEN, ARTHUR WILLIAM JR | ASSISTANT VICE PRESIDENT | 2853961 |
| VACCARO, JOHN ARTHUR | DIRECTOR | 2264004 |
| YOUMELL, EDWARD DEAN | PRESIDENT | 4338114 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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