David R. Misorski
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.
David Richard Misorski, who also goes by David Richard Misiorski, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2000. David had worked at 6 firms and has passed the Series 66, SIE, Series 31 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
January 2, 2013 - April 12, 2016
MML DISTRIBUTORS, LLC
December 8, 2009 - January 2, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
January 20, 2006 - December 8, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
April 17, 2003 - April 27, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
April 17, 2003 - April 27, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
February 28, 2003 - April 23, 2003
VOYA FINANCIAL PARTNERS, LLC
November 6, 2002 - April 23, 2003
VOYA FINANCIAL PARTNERS, LLC
January 24, 2001 - July 31, 2002
MORGAN STANLEY DW INC.
December 8, 2000 - July 31, 2002
MORGAN STANLEY DW 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
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
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