DS
Douglas R. Steele
MML DISTRIBUTORS
Boston, MA 02210
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CRD#: 5026710
DS
Professional summary
Douglas Robert Steele is a registered financial professional currently at MML DISTRIBUTORS, LLC located in Boston, Massachusetts.
Douglas is registered as a RR (Registered Representative) and started their career in finance in 2006. Douglas has worked at 2 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Douglas Robert Steele's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 1, 2014 - Present
MML DISTRIBUTORS, LLC
Office #1: 10 Fan Pier Blvd, Boston, MA 02210Office #2: 1295 State Street, Springfield, MA 01111BD
CRD#: 38030
Boston, MA
Past
January 5, 2006 - May 1, 2014
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
ENFIELD, CT
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/1/2014)
RR
Alaska(5/1/2014)
RR
Arizona(5/1/2014)
RR
Arkansas(5/1/2014)
RR
California(5/1/2014)
RR
Colorado(5/1/2014)
RR
Connecticut(5/1/2014)
RR
Delaware(5/1/2014)
RR
District of Columbia(5/1/2014)
RR
Florida(5/8/2014)
RR
Georgia(5/1/2014)
RR
Hawaii(5/1/2014)
RR
Idaho(5/1/2014)
RR
Illinois(5/1/2014)
RR
Indiana(5/1/2014)
RR
Iowa(5/1/2014)
RR
Kansas(5/1/2014)
RR
Kentucky(5/1/2014)
RR
Louisiana(5/1/2014)
RR
Maine(5/1/2014)
RR
Maryland(5/1/2014)
RR
Massachusetts(5/1/2014)
RR
Michigan(5/1/2014)
RR
Minnesota(5/1/2014)
RR
Mississippi(5/1/2014)
RR
Missouri(5/1/2014)
RR
Montana(5/1/2014)
RR
Nebraska(5/1/2014)
RR
Nevada(5/1/2014)
RR
New Hampshire(5/1/2014)
RR
New Jersey(5/1/2014)
RR
New Mexico(5/1/2014)
RR
New York(5/1/2014)
RR
North Carolina(5/1/2014)
RR
North Dakota(5/1/2014)
RR
Ohio(5/1/2014)
RR
Oklahoma(5/1/2014)
RR
Oregon(5/1/2014)
RR
Pennsylvania(5/1/2014)
RR
Puerto Rico(5/1/2014)
RR
Rhode Island(5/1/2014)
RR
South Carolina(5/1/2014)
RR
South Dakota(5/1/2014)
RR
Tennessee(5/1/2014)
RR
Texas(5/1/2014)
RR
Utah(5/1/2014)
RR
Vermont(5/1/2014)
RR
Virginia(5/1/2014)
RR
Washington(5/1/2014)
RR
West Virginia(5/1/2014)
RR
Wisconsin(5/1/2014)
RR
Wyoming(5/1/2014)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
MD
MML DISTRIBUTORS, LLC
CONNECTICUT MUTUAL FINANCIAL SERVICES, LLC. | MML DISTRIBUTORS, LLC | MML DISTRIBUTORS, LIMITED LIABILITY COMPANY
CRD#: 38030 / SEC#: , 8-48203
BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
1295 State Street, Springfield, MA 01111
Mailing Address
1295 State Street, Springfield, MA 01111
Phone number
(413) 737-8400
Established
Connecticut since 11/10/1994
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
MML DISTRIBUTORS, LLC
CRD#: 38030Boston, MA 02210TRUST BUT VERIFY
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