JS
James F. Stewart
MML DISTRIBUTORS
Boston, MA 02210
Some features on this profile are disabled
CRD#: 5229847
JS
Professional summary
James F Stewart, who also goes by James Stewart, is a registered financial professional currently at MML DISTRIBUTORS, LLC located in Boston, Massachusetts.
James is registered as a RR (Registered Representative) and started their career in finance in 2007. James has worked at 4 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
James Stewart
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 James F Stewart'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
December 10, 2021 - Present
MML DISTRIBUTORS, LLC
Office #1: 10 Fan Pier Blvd, Boston, MA 02210BD
CRD#: 38030
Boston, MA
Past
May 30, 2019 - December 13, 2021
BARINGS SECURITIES LLC
BD
CRD#: 36929
CHARLOTTE, NC
Past
August 11, 2014 - August 11, 2017
HARTFORD FUNDS DISTRIBUTORS, LLC
BD
CRD#: 45995
WAYNE, PA
Past
January 31, 2007 - April 11, 2014
FRANKLIN DISTRIBUTORS, LLC
BD
CRD#: 109064
STAMFORD, 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(12/10/2021)
RR
Alaska(12/10/2021)
RR
Arizona(12/10/2021)
RR
Arkansas(12/10/2021)
RR
California(12/10/2021)
RR
Colorado(12/10/2021)
RR
Connecticut(12/10/2021)
RR
Delaware(12/10/2021)
RR
District of Columbia(12/10/2021)
RR
Florida(12/10/2021)
RR
Georgia(12/10/2021)
RR
Hawaii(12/10/2021)
RR
Idaho(12/10/2021)
RR
Illinois(12/10/2021)
RR
Indiana(12/10/2021)
RR
Iowa(12/10/2021)
RR
Kansas(12/10/2021)
RR
Kentucky(12/10/2021)
RR
Louisiana(12/10/2021)
RR
Maine(12/10/2021)
RR
Maryland(12/10/2021)
RR
Massachusetts(12/10/2021)
RR
Michigan(12/10/2021)
RR
Minnesota(12/10/2021)
RR
Mississippi(12/10/2021)
RR
Missouri(12/10/2021)
RR
Montana(12/10/2021)
RR
Nebraska(12/10/2021)
RR
Nevada(12/10/2021)
RR
New Hampshire(12/10/2021)
RR
New Jersey(12/10/2021)
RR
New Mexico(12/10/2021)
RR
New York(12/10/2021)
RR
North Carolina(12/10/2021)
RR
North Dakota(12/10/2021)
RR
Ohio(12/10/2021)
RR
Oklahoma(12/10/2021)
RR
Oregon(12/10/2021)
RR
Pennsylvania(12/10/2021)
RR
Puerto Rico(12/10/2021)
RR
Rhode Island(12/10/2021)
RR
South Carolina(12/10/2021)
RR
South Dakota(12/10/2021)
RR
Tennessee(12/10/2021)
RR
Texas(12/10/2021)
RR
Utah(12/10/2021)
RR
Vermont(12/10/2021)
RR
Virginia(12/10/2021)
RR
Washington(12/10/2021)
RR
West Virginia(12/10/2021)
RR
Wisconsin(12/10/2021)
RR
Wyoming(12/10/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
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.
Company Information
MML DISTRIBUTORS, LLC
CRD#: 38030Boston, MA 02210TRUST BUT VERIFY
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