William M. Brown
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.
William Martin Brown was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1980. William had worked at 17 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3, Series 7, Series 4, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2015 - May 25, 2016
MML INVESTORS SERVICES, LLC
August 26, 2015 - May 25, 2016
MML INVESTORS SERVICES, LLC
November 3, 2011 - September 26, 2013
EQUITY SERVICES, INC.
September 28, 2011 - November 2, 2011
EQUITY SERVICES, INC.
September 28, 2011 - September 26, 2013
EQUITY SERVICES, INC.
June 23, 2010 - October 5, 2011
ONEAMERICA SECURITIES, INC.
May 11, 2010 - October 5, 2011
ONEAMERICA SECURITIES, INC.
September 12, 2008 - September 18, 2009
AMERITAS INVESTMENT COMPANY, LLC
August 4, 2008 - September 18, 2009
AMERITAS INVESTMENT COMPANY, LLC
January 15, 2008 - August 8, 2008
VOYA FINANCIAL ADVISORS, INC.
December 3, 2007 - August 8, 2008
VOYA FINANCIAL ADVISORS, INC.
August 15, 2005 - December 11, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
April 8, 2003 - December 11, 2007
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
February 21, 2001 - October 29, 2001
MORGAN STANLEY DW INC.
October 20, 1999 - January 24, 2000
PRUDENTIAL EQUITY GROUP, LLC
January 24, 1994 - August 20, 1999
SIGNATOR INVESTORS, INC.
December 7, 1993 - December 20, 1993
SIGNATOR INVESTORS, INC.
December 7, 1993 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
October 12, 1990 - January 7, 1992
INNOVA SECURITIES, INC.
May 5, 1987 - December 6, 1993
GREEN HILL FINANCIAL SERVICE CORPORATION
January 15, 1986 - May 27, 1987
BARRETT & COMPANY
November 29, 1984 - March 5, 1986
OFS, INC.
July 29, 1983 - October 29, 1984
QUICK & REILLY, INC.
July 22, 1982 - June 6, 1983
LEHMAN BROTHERS INC.
December 2, 1981 - July 6, 1982
MORGAN STANLEY DW INC.
July 24, 1980 - October 21, 1981
TUCKER ANTHONY INCORPORATED
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.
