Lester N. Himel
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.
Lester Nils Himel was a registered financial professional .
Lester is a previously registered financial professional and started their career in finance in 1979. Lester had worked at 13 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 53 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
June 12, 2008 - March 20, 2012
MML INVESTORS SERVICES, LLC
February 13, 2008 - March 20, 2012
MML INVESTORS SERVICES, LLC
May 30, 2007 - January 11, 2008
EQUITABLE ADVISORS, LLC
September 14, 2006 - January 11, 2008
EQUITABLE ADVISORS, LLC
April 4, 2006 - September 19, 2006
PARK AVENUE SECURITIES LLC
March 31, 2006 - September 19, 2006
PARK AVENUE SECURITIES LLC
June 13, 2005 - March 27, 2006
EQUITABLE ADVISORS, LLC
April 8, 2004 - March 27, 2006
EQUITABLE ADVISORS, LLC
January 24, 2003 - March 9, 2004
BGC FINANCIAL, L.P.
February 22, 2002 - January 27, 2003
CREDITEX GROUP, INC.
April 6, 2001 - October 18, 2001
DINOSAUR FINANCIAL GROUP, L.L.C
June 6, 1998 - June 14, 2000
CANTOR FITZGERALD & CO.
January 4, 1995 - February 3, 1997
CANTOR FITZGERALD & CO.
November 10, 1993 - June 13, 2000
CANTOR FITZGERALD SECURITIES
December 11, 1991 - June 15, 2000
MINT BROKERS
March 22, 1990 - March 6, 1991
PRINTON, KANE GROUP, INC.
June 27, 1988 - February 20, 1990
SBCI SWISS BANK CORPORATION INVESTMENT BANKING INC.
January 21, 1988 - June 30, 1988
GLEACHER & COMPANY SECURITIES, INC.
August 1, 1979 - October 13, 1987
E. F. HUTTON & COMPANY 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
Series 5
Date: 11/18/1981
Interest Rate Options ExaminationCurrent 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.
