Arthur F. Greenberg
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.
Arthur Frank Greenberg, who also goes by Art Greenberg, Artie Greenberg, was a registered financial professional .
Arthur is a previously registered financial professional and started their career in finance in 1976. Arthur had worked at 16 firms and has passed the Series 63, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2008 - December 31, 2012
MML INVESTORS SERVICES, LLC
December 1, 2006 - April 3, 2008
NYLIFE SECURITIES LLC
February 23, 2006 - July 13, 2006
STRASBOURGER PEARSON TULCIN WOLFF INCORPORATED
November 9, 2004 - January 18, 2006
OPPENHEIMER & CO. INC.
March 8, 2004 - August 24, 2004
HALPERN CAPITAL, INC.
June 17, 2002 - January 29, 2004
BLAYLOCK & COMPANY, INC.
March 1, 2002 - April 22, 2002
ABN AMRO INCORPORATED
April 30, 2001 - March 1, 2002
ABN AMRO SECURITIES LLC
September 9, 1999 - April 30, 2001
ABN AMRO INCORPORATED
July 8, 1993 - September 22, 1999
FIRST UNION CAPITAL MARKETS CORP.
April 19, 1993 - July 16, 1993
REICH & CO., INC.
March 16, 1993 - June 1, 1993
MARTIN SIMPSON & COMPANY, INC.
January 31, 1992 - March 1, 1993
KEYBANC CAPITAL MARKETS INC.
December 24, 1991 - February 4, 1992
STECHLER & COMPANY, INCORPORATED
March 25, 1987 - May 6, 1991
LEHMAN BROTHERS INC.
November 23, 1982 - April 10, 1987
J.P. MORGAN SECURITIES LLC
May 20, 1976 - November 1, 1982
L. F. ROTHSCHILD & CO. 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
Series 8
Date: 10/1/1993
General Securities Sales Supervisor Examination (Options Module & General Module)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.
