Thomas C. Daniel

MML INVESTORS SERVICES

SPRINGFIELD, MA 01111

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CRD#: 5549627

Professional summary

Thomas Charles Daniel, who also goes by Thomas Daniel, is a registered financial professional currently at MML INVESTORS SERVICES, LLC located in Springfield, Massachusetts and MML STRATEGIC DISTRIBUTORS, LLC located in Springfield, Massachusetts.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2016. Thomas has worked at 4 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Thomas Daniel

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Charles Daniel'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®

None

Experience

Current

June 15, 2010 - Present

MML INVESTORS SERVICES, LLC

Office #1: 1295 State Street, Springfield, MA 01111

RIA

CRD#: 10409

SPRINGFIELD, MA

Current

August 29, 2014 - Present

MML STRATEGIC DISTRIBUTORS, LLC

Office #1: 1295 State Street, Springfield, MA 01111

CRD#: 168638

SPRINGFIELD, MA

Current

April 12, 2021 - Present

MML DISTRIBUTORS, LLC

Office #1: 1295 State Street, Springfield, MA 01111

CRD#: 38030

SPRINGFIELD, MA

Past

September 9, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Massachusetts
(9/6/2012)

Exams

State Security Law Exam

Series 63

Date: 8/29/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/14/2010

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 6/4/2013

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 12/18/2012

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/28/2011

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

MML DISTRIBUTORS, LLC

CONNECTICUT MUTUAL FINANCIAL SERVICES, LLC. | MML DISTRIBUTORS, LLC | MML DISTRIBUTORS, LIMITED LIABILITY COMPANY

CRD#: 38030 / SEC#: , 8-48203

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

Red Flags

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Advisor Monitoring

Firm Stability Insights

Thomas C. Daniel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Thomas Charles Daniel's CRS (Customer Relationship Summary).

Certified licenses

Experience

MML STRATEGIC DISTRIBUTORS, LLC

MML DISTRIBUTORS, LLC

MSI FINANCIAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/29/2012

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 6/14/2010

Series 53

Date: 6/4/2013

Series 4

Date: 12/18/2012

Series 24

Date: 12/28/2011

FINRA

Current Firm

MML DISTRIBUTORS, LLC

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

MML DISTRIBUTORS, LLC

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