James Puhala
Professional summary
James Puhala, who also goes by James Paul Puhala III, James Paul Puhala, is a registered financial professional currently at MML INVESTORS SERVICES, LLC located in Springfield, Massachusetts and MML STRATEGIC DISTRIBUTORS, LLC located in Springfield, 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 SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Puhala's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 8, 2007 - Present
MML INVESTORS SERVICES, LLC
Office #1: 1295 State Street, Springfield, MA 01111September 30, 2020 - Present
MML STRATEGIC DISTRIBUTORS, LLC
Office #1: 1295 State Street, Springfield, MA 01111September 30, 2020 - Present
MML DISTRIBUTORS, LLC
Office #1: 1295 State Street, Springfield, MA 01111November 11, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
March 8, 2007 - July 21, 2008
MML DISTRIBUTORS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
Current Firm
MML DISTRIBUTORS, LLC
CRD#: 38030 / SEC#: , 8-48203
Contact information
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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Company Information
MML DISTRIBUTORS, LLC
CRD#: 38030Springfield, MA 01111TRUST BUT VERIFY
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