Ellen S. Bugansky
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.
Ellen Sue Bugansky, who also goes by Ellen S Bugansky, Ellen Sue Bugansky, Ellen Sue Miller, Ellen Sue VItti, was a registered financial professional .
Ellen is a previously registered financial professional and started their career in finance in 1976. Ellen had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7 and PC exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 2017 - October 27, 2021
MML INVESTORS SERVICES, LLC
January 25, 2017 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
April 23, 2014 - April 20, 2015
DAVID LERNER ASSOCIATES, INC.
October 31, 2008 - March 7, 2013
UBS FINANCIAL SERVICES INC.
October 31, 2008 - March 7, 2013
UBS FINANCIAL SERVICES INC.
April 2, 2007 - November 5, 2008
MORGAN STANLEY & CO. LLC
April 2, 2007 - November 5, 2008
MORGAN STANLEY & CO. LLC
August 15, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
August 9, 2005 - April 2, 2007
MORGAN STANLEY DW INC.
February 20, 2004 - July 6, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 5, 1999 - July 6, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 13, 1991 - January 7, 1993
STRATTON OAKMONT INC.
September 26, 1978 - December 20, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 24, 1976 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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
PC
Date: 9/20/1977
AMEX Put and Call ExamCurrent 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.
