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BR

Brooke M. Richard

MML DISTRIBUTORS
Boston, MA 02210
Some features on this profile are disabled
CRD#: 8004260
BR
Brooke Marie RichardMML DISTRIBUTORS

Professional summary

Brooke Marie Richard, who also goes by Brooke Richard, is a registered financial professional currently at MML DISTRIBUTORS, LLC located in Boston, Massachusetts.

Brooke is registered as a RR (Registered Representative) and started their career in finance in 2025. Brooke has worked at 2 firms and has passed the Series 63, Series 7TO, Series 6TO and SIE exams.

Aliases

Brooke Richard

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 Brooke Marie Richard'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

July 8, 2026 - Present

MML DISTRIBUTORS, LLC

Office #1: 10 Fan Pier Blvd, Boston, MA 02210
BD
CRD#: 38030
Boston, MA
Past

April 16, 2025 - May 26, 2026

NORTHERN LIGHTS DISTRIBUTORS, LLC

BD
CRD#: 126159
ELKHORN, NE

State Registrations and Notice Filings

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

RR
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

RR
Massachusetts
(7/8/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/16/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/18/2026
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 4/16/2025
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/13/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

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

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

BD
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

NamePositionCRD#
MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANYMEMBER
BAGGETTA, VINCENT COSIMOCHIEF RISK OFFICER2431743
DUCH III, EDWARD KARLCHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT4808341
MASSMUTUAL HOLDING LLCMEMBER
PUHALA, JAMESCHIEF COMPLIANCE OFFICER5290483
RISPOLI, FRANK JOSEPHCHIEF FINANCIAL OFFICER AND TREASURER4364402
STEELE, DOUGLAS ROBERTCHIEF EXECUTIVE OFFICER AND PRESIDENT5026710

Disclosures

Regulatory Event3

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.

Company Information

MML DISTRIBUTORS, LLC

CRD#: 38030Boston, MA 02210

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