Lloyd N. Clunie
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.
Lloyd Neale Clunie JR, who also goes by Lloyd Neale Clunie, Neale Clunie, was a registered financial professional .
Lloyd is a previously registered financial professional and started their career in finance in 2002. Lloyd had worked at 10 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 19, 2018 - January 10, 2019
MML INVESTORS SERVICES, LLC
October 19, 2018 - January 10, 2019
MML INVESTORS SERVICES, LLC
December 5, 2014 - October 17, 2016
TD AMERITRADE, INC.
December 5, 2014 - October 17, 2016
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
December 5, 2014 - October 17, 2016
TD AMERITRADE, INC.
February 14, 2012 - November 25, 2014
MORGAN STANLEY
February 13, 2012 - November 25, 2014
MORGAN STANLEY
July 19, 2005 - January 17, 2012
CHARLES SCHWAB & CO., INC.
July 19, 2005 - January 17, 2012
CHARLES SCHWAB & CO., INC.
February 10, 2004 - July 13, 2005
TD AMERITRADE, INC.
February 10, 2004 - July 13, 2005
TD AMERITRADE, INC.
March 18, 2003 - February 24, 2004
UBS FINANCIAL SERVICES INC.
January 30, 2003 - February 24, 2004
UBS FINANCIAL SERVICES INC.
December 3, 2002 - January 27, 2003
METROPOLITAN LIFE INSURANCE COMPANY
December 3, 2002 - January 27, 2003
MSI FINANCIAL SERVICES, INC.
October 6, 2002 - October 31, 2002
IDS LIFE INSURANCE COMPANY
October 6, 2002 - October 31, 2002
AMERIPRISE FINANCIAL SERVICES, 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.
