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Katherine Alice Caron

MML Distributors, LLC

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About Katherine Alice Caron

Katherine Caron is a financial professional with over 30 years of experience in the industry. Katherine has held various positions at multiple firms, including MML Distributors, LLC, MML Strategic Distributors, LLC, and MML Investors Services, LLC. Katherine holds licenses and certifications in various areas, including Series 6, 7, 24, 27, 52, 53, 65, 99 and SIE. Katherine has a strong background in securities and investment products.

Firm Information

Katherine Caron is currently registered with MML Distributors, LLC. MML Distributors, LLC is a Limited Liability Company formed in November 1994. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico. It is also registered with the SEC.

Not reported

Assets Under Management

Not reported

Total Clients

49

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Katherine Caron’s Registration & Firm History

MA

02/09/2018 - Present

MML Distributors, LLC (SPRINGFIELD MA)

MA

09/09/2016 - 03/25/2017

MSI FINANCIAL SERVICES, INC. (SPRINGFIELD MA)

MA

06/26/2012 - 11/04/2013

MMLISI FINANCIAL ALLIANCES, LLC (SPRINGFIELD MA)

MA

04/02/2004 - 09/12/2007

MML DISTRIBUTORS, LLC (SPRINGFIELD MA)

MA

09/11/1997 - 03/02/2004

MML DISTRIBUTORS, LLC (SPRINGFIELD MA)

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Licenses & Designations

IA

Issued 11/08/1999

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/17/2008

Series 53 - Municipal Securities Principal Examination

BC

Issued 09/27/1999

Series 24 - General Securities Principal Examination

BC

Issued 08/27/1990

Series 27 - Financial and Operations Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/31/1998

Series 7 - General Securities Representative Examination

BC

Issued 09/03/1991

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Katherine Alice Caron.
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