Rita Sullivan
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.
Rita Sullivan, who also goes by Rita Maria Dominguez, Rita Dominguez Wood, Rita Wood, was a registered financial professional .
Rita is a previously registered financial professional and started their career in finance in 2001. Rita had worked at 7 firms and has passed the Series 66, Series 63 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 - October 14, 2013
MML DISTRIBUTORS, LLC
January 1, 2009 - January 2, 2013
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
June 28, 2007 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
March 27, 2006 - May 25, 2007
WOODBURY FINANCIAL SERVICES, INC.
December 12, 2005 - May 25, 2007
WOODBURY FINANCIAL SERVICES, INC.
February 10, 2005 - December 6, 2005
RAYMOND JAMES FINANCIAL SERVICES, INC.
February 5, 2003 - February 22, 2005
WAMU INVESTMENTS, INC.
March 27, 2001 - January 27, 2003
EDWARD JONES
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
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.
