Chief Financial Officer and Treasurer · MML Investors Services, LLC
Frank Joseph Rispoli
CRD 4364402 · Named on Form ADV at 2 SEC-registered advisers
At a glance
MML Investors Services, LLC, an SEC-registered broker-dealer firm based in Springfield, MA with $115.6 billion in regulatory assets, lists Frank Joseph Rispoli on its Form ADV as Chief Financial Officer and Treasurer, a control person. The SEC filings also name Frank at 1 other registered adviser.
Firms and roles
- MML Investors Services, LLCChief Financial Officer and TreasurerBroker-dealer firm · Springfield, MA · $116B in regulatory assets
- MML Investment Advisers, LLCChief Financial Officer and TreasurerAsset manager · Springfield, MA · $25B in regulatory assets
AtlasMembers
Frank’s stakes and control
What Form ADV says they own at each firm, whether they control it, and how each firm is growing. Atlas members see all of it.
- Ownership stake at each firm
- 2 firmsLocked
- Control-person status
- 2 firmsLocked
- When each role began
- Locked
- Each firm’s assets and growth
- Locked
- Search and export owners by title, state and firm size
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
SEC adviser record
- Registered since
- 2018 (8 years)
- Designations
- Chartered Financial Consultant
- Exams
- Series 63, Series 66
- Registered in
- 1 state
- Also a broker representative
- Yes
- Disclosures on record
- None
AtlasMembers
Frank’s office, career and moves
Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.
- Branch office address, business phone and website
- Locked
- Previous firms, with start and end dates
- 2 firmsLocked
- Employment history
- Locked
- States they’re registered in
- Locked
- Outside business activities
- Locked
- When they joined their current firm, and their firm’s growth
- Locked
Free while Atlas launches: create a free account and confirm your email. Every figure comes from SEC filings.
Colleagues named on the same filings (15)
- John Arthur VaccaroChairman Emeritus, MML Investors Services, LLC
- Thomas K BauerChief Technology Officer, MML Investors Services, LLC
- David Myers MinkVice President and Chief Operations Officer, MML Investors Services, LLC
- Mary Bea WilkinsonVice President, MML Investors Services, LLC
- Geoffrey CraddockDirector, MML Investors Services, LLC
10 more people named with Frank on the same filings, with titles and firms. Free in Atlas with a free account.
See all 15 freeSomething wrong? Ask for a correction. Source: Schedules A and B of each firm’s latest Form ADV, filed with the SEC. For Frank’s registrations, exams and any disclosures, see the SEC’s adviser search or FINRA BrokerCheck.