Nancy E. Kyler
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.
Nancy E. Kyler was a registered financial professional .
Nancy is a previously registered financial professional and started their career in finance in 2001. Nancy had worked at 10 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 53 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
March 25, 2017 - July 9, 2018
MML INVESTORS SERVICES, LLC
March 25, 2017 - July 9, 2018
MML INVESTORS SERVICES, LLC
May 6, 2010 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
May 3, 2010 - September 5, 2013
WALNUT STREET SECURITIES, INC.
May 3, 2010 - September 5, 2013
TOWER SQUARE SECURITIES, INC.
May 3, 2010 - January 2, 2015
NEW ENGLAND SECURITIES
May 3, 2010 - July 8, 2016
METLIFE INVESTORS DISTRIBUTION COMPANY
May 3, 2010 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
March 3, 2009 - April 19, 2010
LPL FINANCIAL LLC
March 3, 2009 - April 19, 2010
LPL FINANCIAL LLC
November 22, 2005 - March 10, 2009
INVEST FINANCIAL CORPORATION
October 11, 2005 - March 10, 2009
INVEST FINANCIAL CORPORATION
January 15, 2004 - November 3, 2005
FNB WEALTH MANAGEMENT
November 26, 2002 - June 2, 2003
INVEST FINANCIAL CORPORATION
October 24, 2002 - December 31, 2003
FNB WEALTH MANAGEMENT
December 12, 2001 - November 29, 2002
BNY MELLON SECURITIES LLC
Primary Firm SEC Registration
MML INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
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 INVESTORS SERVICES, LLC
CRD#: 10409 / SEC#: 801-44264, 8-27250
Contact information
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
