Articles Tagged with MML Investors Services

Nicholas RadkePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on January 22, 2019 indicate that former California-based MML Investors Services broker Nicholas Radke has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with any broker-dealer firm. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Radke (CRD# 2610246).

Nicholas Radke has spent 23 years in the securities industry and was most recently registered with MML Investors Services in Irvine, California (2018). Previous registrations include American Independent Securities Group in Lake Oswego, Oregon (2011-2018); LPL Financial in Eugene, Oregon (2008-2011); Wedbush Morgan Securities in Eugene, Oregon (2006-2008); Hornor Townsend & Kent in Eugene, Oregon (2002-2006); Securian Financial Services in St. Paul, Minnesota (2001-2002); Hornor Townsend & Kent in Horsham, Pennsylvania (2000-2001); and Sentra Securities in Phoenix, Arizona (1995-2000). He has passed four securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 10, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on February 27, 2007; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 27, 1995. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has received one regulatory sanction.

Kent WysePublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 31, 2018 indicate that Ohio-based MML Investors Services broker/adviser Kent Wyse has been involved with resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Wyse (CRD# 1070329).

Kent Wyse has spent 35 years in the securities industry and has been registered with MML Investors Services in Larue, Wauseon, and Sylvania, Ohio since 1996. He was previously registered with GR Phelps & Company (1983-1996). He has passed five securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on April 16, 1986; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on November 16, 2001; Series 22 (Direct Participation Programs Representative Examination), which he obtained on August 22, 1984; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 19, 1983. He is a registered broker and investment adviser with 30 US states and territories.

According to his BrokerCheck report, he has received one customer complaint, one pending customer complaint, and one denied customer complaint.

Lee SandersPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Arkansas-based MML Investors Services broker/adviser Lee Sanders has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Sanders (CRD# 5243694).

Lee Sanders has spent 10 years in the securities industry and has been registered with MML Investors Services in Little Rock, Arkansas since 2010. Previous registrations include SWBC Investment Services in San Antonio, Texas (2009) and Merrill Lynch in Little Rock, Arkansas (2007-2009). He has passed five securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on February 14, 2014; Series 66 (Uniform Combined State Law Examination), which he obtained on November 12, 2007; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on July 16, 2007; and Series 24 (General Securities Principal Examination), which he obtained on June 18, 2013. He is a registered broker and investment adviser with three US states: Arkansas, Colorado, and Texas.

According to his BrokerCheck report, he has received one pending customer complaint and one customer complaint that was denied.

Matthew WhitePublic records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that former Arkansas-based MML Investors Services broker/adviser Matthew White has been sanctioned by state regulatory authorities in connection to alleged rule violations and is currently not registered as a broker with any state or firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. White (CRD# 5365185).

Matthew White has spent nine years in the securities industry and was most recently registered as a broker with MML Investors Services in Little Rock, Arkansas (2015-2018). He has been registered as an investment adviser with White McGowan in Little Rock, Arkansas since October 10, 2018. He was previously registered with Northwestern Mutual Investment Services in Little Rock, Arkansas (2009-2015). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 29, 2015; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 28, 2009; SIE (Securities Industry Essentials Examination), which he obtained on June 7, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on January 26, 2009. He is currently not registered as a broker with any state or firm.

According to his BrokerCheck report, Matthew White was terminated from a former employer in connection to alleged rule violations and was recently sanctioned by state regulators.

Brian TraversPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 4, 2018 indicate that former New York-based MML Investors Services broker Brian Travers has been sanctioned by FINRA in connection to alleged rule violations and barred from acting as a broker or otherwise associating with a broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have disputes regarding Mr. Travers (CRD# 4767891).

Brian Travers has spent 12 years in the securities industry and was most recently registered with MML Investors Services in Melville, New York (2013-2017); Lincoln Financial Advisors Corporation in Syosset, New York (2011-2013); MetLife Securities in Hauppage, New York (2009-2011); MML investors Services in Melville, New York (2007-2009); MetLife Securities in Hauppage, New York (2004-2007); Metropolitan Life Insurance Company in Hauppage, New York (2004-2007); and LH Ross & Company in Boca Raton, Florida (2004). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on December 5, 2011, and Series 7 (General Securities Representative Examination), which he obtained on June 10, 2004. He is currently not registered with any state or firm.

According to his BrokerCheck report, he has been sanctioned by FINRA and was discharged from a former employer in connection to alleged rule violations.

Robert AhrendtPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on November 20, 2017 indicate that Washington-based MML Investors Services broker/adviser Robert Ahrendt has been named in a pending regulatory complaint. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Ahrendt (CRD# 5183328).

Robert Ahrendt has spent eleven years in the securities industry and has been registered with MML Investors’ Services in Bellevue, Washington since March 2017. Previous registrations include MSI Financial Services in Bellevue, Washington and Edward Jones in Kirkland, Washington (2006-2013). He has passed two securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on September 7, 2006, and Series 7 (General Securities Representative Examination), which he obtained on August 29, 2006. He is a registered broker and investment adviser with seven US states and territories: Alaska, Arizona, California, Florida, Oregon, Texas and Washington.

According to his BrokerCheck report, Robert Ahrendt has received one pending regulatory complaint and one denied customer complaint.

Patrick Foley

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on July 31st, 2017 indicate that New York-based MML Investors Services broker Patrick Foley has been the subject of a customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Foley (CRD# 4807449).

Patrick Foley has spent 12 years in the securities industry and has been registered with MML Investors Services in Williamsville, New York since March 2017. Previous registrations include MSI Financial Services in Williamsville, New York (2015-2017); Citizens Securities in Depew, New York (2004-2011); MetLife Securities in Williamsville, New York (2004-2011) and Metropolitan Life Insurance Company in Williamsville, New York (2004-2007). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 7 (General Securities Representative Examination); and Series 6 (Investment Company Products/Variable Contracts Representative Examination). He is registered as a broker in New York.

According to his BrokerCheck report, he has received one customer complaint and two denied customer complaints.