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Richard Michael Caruso

MML Investors Services, LLC

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About Richard Michael Caruso

Richard Caruso is an active Registered Representative and Investment Advisor Representative. Richard Caruso is a financial professional with over 28 years of experience in the securities industry. Richard Caruso is currently registered with MML Investors Services, LLC and has been registered with this firm since 03/2017. Previously, Richard Caruso was registered with MSI Financial Services, Inc., New England Securities, Tower Square Securities, Inc., Walnut Street Securities, Inc., Securities America, Inc., Multi-Financial Securities Corporation, ViewTrade Securities, Inc., J.P. Turner & Company, L.L.C., Prudential Securities Incorporated, NDB Capital Markets, LP, Global Capital Securities Corporation, Global Capital Markets, LLC, Stratton Oakmont Inc., National Discount Brokers and Stratton Oakmont Inc.. Richard Caruso is licensed in 53 states and has a diverse range of financial licenses and certifications, including Series 7, 9, 10, 24, 52, 53, 55, 57, 63 and 66. Richard Caruso holds a Series 66 license and a Series 63 license. Richard Caruso has been a registered representative since 4/16/1992.

Firm Information

Richard Caruso is currently registered with MML Investors Services, LLC. MML Investors Services, LLC is a Limited Liability Company headquartered in Springfield, MA, formed in January 2011. The firm is registered with the SEC and in 53 states. They provide a range of advisory services including financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses and individuals, and asset allocation programs. MML Investors Services, LLC manages over $72 billion in assets for individuals, high-net-worth individuals, corporations, trusts, foundations, charitable organizations, pension plans, and insurance companies.
MML Investors Services, LLC

1295 STATE STREET

SPRINGFIELD, MA 01111-0001

$72.83B

Assets Under Management

Not reported

Total Clients

6,192

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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asset allocation programs

Asset allocation programs

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Solicitors fees

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Richard Caruso’s Registration & Firm History

NJ

02/09/2022 - Present

MML Investors Services, LLC (Iselin NJ)

NJ

10/07/2010 - 03/25/2017

MSI FINANCIAL SERVICES, INC. (ISELIN NJ)

NY

11/12/2010 - 01/02/2015

NEW ENGLAND SECURITIES (NEW YORK NY)

CA

11/12/2010 - 09/05/2013

TOWER SQUARE SECURITIES, INC. (EL SEGUNDO CA)

CA

11/12/2010 - 09/05/2013

WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)

NJ

08/08/2008 - 10/14/2010

SECURITIES AMERICA, INC. (ISELIN NJ)

NJ

01/03/2005 - 08/11/2008

MULTI-FINANCIAL SECURITIES CORPORATION (ISELIN NJ)

FL

09/16/2003 - 02/24/2004

VIEWTRADE SECURITIES, INC. (BOCA RATON FL)

GA

10/01/2002 - 09/22/2003

J.P. TURNER & COMPANY, L.L.C. (ATLANTA GA)

NY

01/07/2002 - 09/12/2002

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

NY

03/07/2001 - 05/01/2001

NDB CAPITAL MARKETS, LP (NEW YORK NY)

CO

01/02/2001 - 02/21/2001

GLOBAL CAPITAL SECURITIES CORPORATION (ENGLEWOOD CO)

NY

08/19/1996 - 01/02/2001

GLOBAL CAPITAL MARKETS, LLC (MELVILLE NY)

NY

10/11/1994 - 08/16/1996

STRATTON OAKMONT INC. (LAKE SUCCESS NY)

NE

08/12/1994 - 09/26/1994

NATIONAL DISCOUNT BROKERS (OMAHA NE)

NY

04/20/1992 - 08/24/1993

STRATTON OAKMONT INC. (LAKE SUCCESS NY)

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Licenses & Designations

BOTH

Issued 04/29/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/06/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/25/2019

Series 53 - Municipal Securities Principal Examination

BC

Issued 03/07/2003

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 03/07/2003

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 07/17/1998

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 52TO - Municipal Securities Representative Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/12/1999

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/16/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Michael Caruso.
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