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Mario Morton

MML INVESTORS SERVICES
SPRINGFIELD, MA 01111
Some features on this profile are disabled
CRD#: 4396154
MM

Professional summary

Mario Morton, who also goes by Mario Norval Morton, is a registered financial professional currently at MML INVESTORS SERVICES, LLC located in Springfield, Massachusetts and MML DISTRIBUTORS, LLC located in Springfield, Massachusetts.

Mario is registered as a RR (Registered Representative) and started their career in finance in 2005. Mario has worked at 5 firms and has passed the SIE, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mario Norval Morton

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Mario Morton's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

February 18, 2005 - Present

MML INVESTORS SERVICES, LLC

Office #1: 1295 State Street, Springfield, MA 01111
RIA
BD
CRD#: 10409
SPRINGFIELD, MA
Current

July 6, 2007 - Present

MML DISTRIBUTORS, LLC

Office #1: 1295 State Street, Springfield, MA 01111
BD
CRD#: 38030
SPRINGFIELD, MA
Current

February 27, 2014 - Present

MML STRATEGIC DISTRIBUTORS, LLC

Office #1: 1295 State Street, Springfield, MA 01111
BD
CRD#: 168638
SPRINGFIELD, MA
Past

August 10, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

July 27, 2012 - November 5, 2013

MMLISI FINANCIAL ALLIANCES, LLC

BD
CRD#: 119003
SPRINGFIELD, MA
Past

August 23, 2005 - August 31, 2006

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/9/2006
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/17/2005
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/8/2008
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 7/7/2005
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

MS
MML STRATEGIC DISTRIBUTORS, LLC
MML STRATEGIC DISTRIBUTORS, LLC

CRD#: 168638 / SEC#: , 8-69322

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
1295 State Street, Springfield, MA 01111-0001
Mailing Address
1295 State Street, Springfield, MA 01111-0001
Phone number
(413) 744-4528
Established
Delaware since 06/07/2013
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYMEMBER
BAGGETTA, VINCENT COSIMOCHIEF RISK OFFICER2431743
BLUE, DOMINICDIRECTOR7323924
CRADDOCK, GEOFFREYDIRECTOR1444771
DIGANGI, MATTHEW TCHIEF EXECUTIVE OFFICER AND PRESIDENT3229894
DUCH III, EDWARD KARLCHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT4808341
PUHALA, JAMESVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER5290483
REILLY, JENNIFER RHODESDIRECTOR3243154
RISPOLI, FRANK JOSEPHCHIEF FINANCIAL OFFICER AND TREASURER4364402

Disclosures

Regulatory Event1

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.

Company Information

MML STRATEGIC DISTRIBUTORS, LLC

CRD#: 168638Springfield, MA 01111

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