Tony S. Jung
Professional summary
Tony Sang Jung was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Tony is a previously registered financial advisor and started their career in finance in 2002. Prior to being barred, Tony had worked at 6 firms, which includes MML DISTRIBUTORS LLC, MML INVESTORS SERVICES LLC, MORGAN STANLEY, CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, THINKEQUITY LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 1, 2014 - March 26, 2015
MML DISTRIBUTORS, LLC
July 25, 2012 - May 1, 2014
MML INVESTORS SERVICES, LLC
June 1, 2009 - February 8, 2012
MORGAN STANLEY
June 1, 2009 - February 8, 2012
MORGAN STANLEY
September 10, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
September 10, 2007 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
February 25, 2004 - September 20, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 9, 2003 - September 20, 2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 2002 - December 4, 2002
THINKEQUITY 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
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