Frances V. Thomas
Professional summary
Frances Vaughan Thomas, who also goes by Frances Elizabeth Vaughan, is a registered financial professional currently at MML INVESTORS SERVICES, LLC located in Springfield, Massachusetts and MML STRATEGIC DISTRIBUTORS, LLC located in Springfield, Massachusetts.
Frances is registered as a RR (Registered Representative) and started their career in finance in 2016. Frances has worked at 3 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 Frances Vaughan Thomas's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 25, 2007 - Present
MML INVESTORS SERVICES, LLC
Office #1: 1295 State Street, Springfield, MA 01111July 28, 2021 - Present
MML STRATEGIC DISTRIBUTORS, LLC
Office #1: 1295 State Street, Springfield, MA 01111December 7, 2016 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
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
FINRA
Current Firm
MML STRATEGIC DISTRIBUTORS, LLC
CRD#: 168638 / SEC#: , 8-69322
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 |
| BLUE, DOMINIC | DIRECTOR | 7323924 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DIGANGI, MATTHEW T | CHIEF EXECUTIVE OFFICER AND PRESIDENT | 3229894 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| PUHALA, JAMES | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 5290483 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
MML STRATEGIC DISTRIBUTORS, LLC
CRD#: 168638Springfield, MA 01111TRUST BUT VERIFY
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