Mark L. Calabrese
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.
Mark Louis Calabrese, who also goes by Mark L Calabrese, Mark Calabrese, was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 2002. Mark had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10, 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 27, 2015 - December 21, 2016
MML INVESTORS SERVICES, LLC
December 9, 2013 - October 9, 2014
J.P. MORGAN SECURITIES LLC
December 4, 2013 - October 9, 2014
J.P. MORGAN SECURITIES LLC
September 18, 2013 - October 18, 2013
VALIC FINANCIAL ADVISORS, INC.
September 17, 2013 - October 18, 2013
VALIC FINANCIAL ADVISORS, INC.
May 11, 2012 - May 3, 2013
FIFTH THIRD SECURITIES, INC.
May 9, 2012 - May 3, 2013
FIFTH THIRD SECURITIES, INC.
October 6, 2010 - May 3, 2012
J.P. MORGAN SECURITIES LLC
October 6, 2010 - May 3, 2012
J.P. MORGAN SECURITIES LLC
July 6, 2005 - October 1, 2010
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - October 1, 2010
CHASE INVESTMENT SERVICES CORP.
May 13, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
May 13, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
February 16, 2005 - April 20, 2005
FIFTH THIRD SECURITIES, INC.
December 2, 2004 - April 20, 2005
FIFTH THIRD SECURITIES, INC.
November 6, 2003 - November 26, 2004
BANC ONE SECURITIES CORPORATION
November 6, 2003 - November 26, 2004
BANC ONE SECURITIES CORPORATION
May 1, 2003 - November 11, 2003
PRUCO SECURITIES, LLC.
October 11, 2002 - April 24, 2003
FIFTH THIRD SECURITIES, INC.
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.
