Justin Brody
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.
Justin Brody, who also goes by Justin Marc Brody, Justin Brody, was a registered financial professional .
Justin is a previously registered financial professional and started their career in finance in 2006. Justin had worked at 12 firms and has passed the Series 63, 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
September 13, 2024 - July 16, 2025
MML INVESTORS SERVICES, LLC
October 17, 2022 - May 1, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
June 2, 2021 - June 3, 2022
CANTOR FITZGERALD & CO.
February 23, 2021 - April 28, 2021
SAN BLAS SECURITIES LLC
January 29, 2020 - February 19, 2021
ODEON CAPITAL GROUP LLC
February 14, 2019 - January 31, 2020
SUNRISE BROKERS LLC
November 21, 2016 - February 7, 2019
WILLIAM BLAIR
July 26, 2016 - November 21, 2016
TRIBAL CAPITAL MARKETS, LLC
April 29, 2014 - December 23, 2015
CREDIT AGRICOLE SECURITIES (USA) INC.
December 12, 2012 - April 25, 2014
WILLIAM BLAIR
December 9, 2011 - December 3, 2012
TEJAS SECURITIES GROUP, INC.
April 25, 2011 - October 17, 2011
KGS-ALPHA CAPITAL MARKETS, L.P.
May 14, 2010 - April 26, 2011
ODEON CAPITAL GROUP LLC
June 27, 2006 - May 20, 2010
UBS FINANCIAL SERVICES 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.
