Michael J. Baron
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.
Michael Jon Baron, who also goes by Michael J Baron, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2002. Michael had worked at 11 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
October 12, 2015 - September 10, 2018
MML DISTRIBUTORS, LLC
August 13, 2014 - August 12, 2015
SYNOVUS SECURITIES, INC.
August 13, 2014 - August 12, 2015
SYNOVUS SECURITIES, INC.
April 4, 2013 - August 6, 2014
NATIONWIDE INVESTMENT ADVISORS, LLC
February 20, 2009 - August 6, 2014
NATIONWIDE INVESTMENT SERVICES CORPORATION
September 12, 2007 - February 18, 2009
FEDERATED INVESTMENT COUNSELING
September 11, 2007 - February 18, 2009
FEDERATED SECURITIES CORP.
January 4, 2005 - September 12, 2007
VOYA FINANCIAL PARTNERS, LLC
January 3, 2005 - September 12, 2007
VOYA FINANCIAL PARTNERS, LLC
April 6, 2004 - December 7, 2004
TRUIST INVESTMENT SERVICES, INC.
January 14, 2004 - December 7, 2004
TRUIST INVESTMENT SERVICES, INC.
January 9, 2004 - February 2, 2004
UBS FINANCIAL SERVICES INC.
November 29, 2002 - February 2, 2004
UBS FINANCIAL SERVICES INC.
April 2, 2002 - June 6, 2002
IDS LIFE INSURANCE COMPANY
April 2, 2002 - June 6, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
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.
