Patrick E. Kappenman
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.
Patrick Eugene Kappenman, who also goes by Patrick Kappenman, was a registered financial professional .
Patrick is a previously registered financial professional and started their career in finance in 2002. Patrick had worked at 2 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 26, 2016 - November 1, 2019
MML DISTRIBUTORS, LLC
May 1, 2014 - June 3, 2015
MML DISTRIBUTORS, LLC
July 21, 2008 - May 1, 2014
MML INVESTORS SERVICES, LLC
February 12, 2002 - June 8, 2007
MML INVESTORS 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.
