Jianhua J. Lin
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.
Jianhua Joanne Lin, who also goes by Jian Hua Lin, Joanne Jianhua Lin, Joanne Lin, Jianhua Lin, was a registered financial professional .
Jianhua is a previously registered financial professional and started their career in finance in 2007. Jianhua had worked at 7 firms and has passed the Series 66, 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
June 12, 2019 - January 8, 2020
MML INVESTORS SERVICES, LLC
May 23, 2019 - January 8, 2020
MML INVESTORS SERVICES, LLC
April 26, 2017 - October 29, 2018
NI ADVISORS
April 26, 2017 - October 29, 2018
NI ADVISORS
February 6, 2015 - May 22, 2015
J.P. MORGAN SECURITIES LLC
February 6, 2015 - May 22, 2015
J.P. MORGAN SECURITIES LLC
June 14, 2013 - September 22, 2014
EQUITABLE ADVISORS, LLC
June 14, 2013 - September 22, 2014
EQUITABLE ADVISORS, LLC
October 16, 2012 - May 17, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 7, 2012 - May 17, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 1, 2010 - August 18, 2010
MML INVESTORS SERVICES, LLC
December 14, 2009 - August 18, 2010
MML INVESTORS SERVICES, LLC
November 14, 2008 - June 25, 2009
MSI FINANCIAL SERVICES, INC.
November 4, 2008 - June 25, 2009
MSI FINANCIAL SERVICES, INC.
July 8, 2008 - October 22, 2008
EQUITABLE ADVISORS, LLC
July 8, 2008 - October 22, 2008
EQUITABLE ADVISORS, LLC
July 23, 2007 - May 16, 2008
INTEGRAL FINANCIAL LLC
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.
