Richard W. Mckee

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CRD#: 729359

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.

Richard W Mckee, who also goes by Rick Mckee, Richard William Mckee, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1981. Richard had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Mckee | Richard William Mckee

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.

1)NAME: BALLEY COACH, INV REL: N ADDR: 1708 ROUTE 116, SPRING GROVE PA 17362, NATURE: PROVIDES MOTORCOACH AND PRIVATE SEDAN/VAN TRANSPORTATION SERVICES, POSITION:PROFESSIONAL PRIVATE TRANSPORTATION DRIVER, START:10/01/2023, NO HR/MO: 60 NO HR/MO DUR TRADING:12, DUTIES: SAFELY TRANSPORTS CLIENTS VIA VAN, SEDAN OR SUV. AIRPORTS, WEDDINGS, CRUISE SHIP PORTS, TRAIN STATIONS WITHIN 250 MILES OF YORK PA, PRE-DEPARTURE PREPARATION/RESEARCH, WILLING AND ABLE TO SAFELY DRIVE IN ALL WEATHER. COMMUNICATE WITH DISPATCHER AND COMPLETE ALL REQ PAPERWORK.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 20, 2023 - December 26, 2023

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

Hanover, PA

Past

April 11, 2023 - December 26, 2023

MML INVESTORS SERVICES, LLC

CRD#: 10409

Hanover, PA

Past

February 17, 2017 - December 19, 2022

EDWARD JONES

RIA

CRD#: 250

HANOVER, PA

Past

February 17, 2017 - December 19, 2022

EDWARD JONES

CRD#: 250

HANOVER, PA

Past

February 2, 2012 - February 17, 2017

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

HANOVER, PA

Past

January 10, 2011 - January 3, 2012

CENTER STREET SECURITIES, INC.

CRD#: 26898

NASHVILLE, TN

Past

January 4, 2011 - January 5, 2012

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

STEWARTSTOWN, PA

Past

August 16, 2005 - January 6, 2011

SSN ADVISORY, INC.

RIA

CRD#: 126090

JARRETTSVILLE, MD

Past

August 16, 2005 - January 6, 2011

SECURITIES SERVICE NETWORK, LLC

CRD#: 13318

JARRETTSVILLE, MD

Past

February 6, 2004 - August 15, 2005

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

RIA

CRD#: 20804

HEREFORD, MD

Past

January 15, 2004 - August 15, 2005

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

April 1, 2002 - January 15, 2004

HORNOR, TOWNSEND & KENT, LLC

RIA

CRD#: 4031

TOWSON, MD

Past

October 1, 2001 - January 15, 2004

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

CONSHOHOCKEN, PA

Past

June 11, 1996 - October 3, 2001

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

September 12, 1992 - October 2, 1993

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

OAKDALE, MN

Past

October 4, 1991 - July 29, 1992

EQUITY SERVICES, INC.

CRD#: 265

MONTPELIER, VT

Past

December 6, 1989 - December 12, 1990

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

April 14, 1989 - November 21, 1989

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

April 29, 1981 - May 4, 1989

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MML INVESTORS SERVICES, LLC

CRD#: 10409 / SEC#: 801-44264, 8-27250

RIA

Registered Investment Advisory firm - SEC (7/13/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/10/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/19/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/10/1996

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 5/29/2002

General Securities Principal Examination

Current Firm

MML INVESTORS SERVICES, LLC

CRD#: 10409 / SEC#: 801-44264, 8-27250

RIA

Registered Investment Advisory firm - SEC (7/13/1993 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

1295 State Street, Springfield, MA 01111-0001

Mailing Address

1295 State Street, Springfield, MA 01111-0001

Phone number

(413) 737-8400

Established

Massachusetts since 01/01/2011

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

7,056

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV (THIRD PARTY PROGRAMS) (11/13/2025)

FORM ADV PART 2A FOR MML PLAN SOLUTIONS (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - ADVISOR SELECT (10/6/2025)

PART 2A BROCHURE MASSMUTUAL PLAN FIDUCIARY SERVICES PROGRAM (10/6/2025)

PORTFOLIO SOLUTIONS PROGRAMS WRAP FEE BROCHURE (10/6/2025)

PART 2 A APPENDIX 1 OF FORM ADV - SMA SELECT (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - STRATEGIST SELECT AND STRATEGIST SELECT MF ONLY (10/6/2025)

PART 2A APPENDIX 1 OF FORM ADV - UMA SELECT PREMIER AND UMA SELECT PREMIER MF ONLY (10/6/2025)

VALIANCE INVESTMENT PROGRAMS (10/6/2025)

WMS ORION DISCLOSURE BROCHURE (10/6/2025)

WMS ADVISORY ANNUITIES DISCLOSURE BROCHURE (7/1/2025)

PART 2A OF FORM ADV (BAYSTATE AND NEWSQUARE) (7/1/2025)

FINANCIAL PLANNING SERVICES ADV BROCHURE (3/28/2025)

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	Cover Page	Report
10/28/2024	Cover Page	Report
11/28/2023	Cover Page	Report
12/19/2022	Cover Page	Report

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Richard W. Mckee

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

EDWARD JONES

EDWARD JONES

ALLSTATE FINANCIAL SERVICES, LLC

CENTER STREET SECURITIES, INC.

BROOKSTONE CAPITAL MANAGEMENT LLC

SSN ADVISORY, INC.

SECURITIES SERVICE NETWORK, LLC

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

HORNOR, TOWNSEND & KENT, LLC

HORNOR, TOWNSEND & KENT, LLC

EQUITY SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

EQUITY SERVICES, INC.

NEW ENGLAND SECURITIES

MML INVESTORS SERVICES, LLC

VP DISTRIBUTORS LLC

Primary Firm SEC Registration

MML INVESTORS SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/10/1996

SIE

Date: 10/1/2018

Series 7

Date: 2/19/2002

Series 6

Date: 6/10/1996

Series 24

Date: 5/29/2002

Current Firm

MML INVESTORS SERVICES, LLC

Contact information

SEC notice filing (50 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

MML INVESTORS SERVICES, LLC

TRUST BUT VERIFY

Contact information

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