David J. Harter
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 Jerome Harter, who also goes by David Harter, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2001. David had worked at 9 firms and has passed the Series 65, Series 63, 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
February 21, 2018 - November 10, 2020
MML INVESTORS SERVICES, LLC
January 10, 2018 - November 10, 2020
MML INVESTORS SERVICES, LLC
July 25, 2016 - October 6, 2017
HORNOR, TOWNSEND & KENT, LLC
May 26, 2016 - October 6, 2017
HORNOR, TOWNSEND & KENT, LLC
March 19, 2015 - December 17, 2015
HORNOR, TOWNSEND & KENT, LLC
January 9, 2015 - December 17, 2015
HORNOR, TOWNSEND & KENT, LLC
June 11, 2013 - January 6, 2015
PARK AVENUE SECURITIES LLC
April 16, 2013 - January 6, 2015
PARK AVENUE SECURITIES LLC
November 30, 2012 - April 5, 2013
MML INVESTORS SERVICES, LLC
September 23, 2011 - October 4, 2012
MSI FINANCIAL SERVICES, INC.
August 26, 2010 - October 4, 2012
MSI FINANCIAL SERVICES, INC.
April 28, 2009 - July 7, 2009
PRUCO SECURITIES, LLC.
March 30, 2009 - April 9, 2009
DAVID LERNER ASSOCIATES, INC.
December 23, 2008 - February 20, 2009
MSI FINANCIAL SERVICES, INC.
September 18, 2007 - July 31, 2008
UBS FINANCIAL SERVICES INC.
November 7, 2006 - September 20, 2007
UBS ASSET MANAGEMENT (US) INC.
December 3, 2004 - November 13, 2006
UBS FINANCIAL SERVICES INC.
September 6, 2001 - December 13, 2004
CITIGROUP GLOBAL MARKETS INC.
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.
