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Frank Rispoli

Chief Financial Officer and Treasurer at MML Investors Services

Investment adviser and broker registrationsSEC record checked 17 October 2026

19
Years in the industry
4
Years at the firm
3
Adviser firms
1
State registrations

IAPD record retrieved 17 October 2026SEC record

Frank Rispoli is Chief Financial Officer and Treasurer of MML Investors Services, LLC, a Springfield investment adviser managing $116B. Frank Rispoli has been registered through MML Investors Services since 17 June 2022, has 19 years in the industry across 3 firms and has passed 7 licensing exams.

Role at MML Investors Services

Title on Schedule A
Chief Financial Officer and Treasurer
Control
Frank Rispoli is a control person of MML Investors Services.
Ownership
An individual ownership band is not available in the source record.
Tenure
Frank Rispoli has held the filed role since June 2022.

The firm

MML Investors Services, LLC
Springfield, MA

Form ADV filed 3 September 2026

$116B AUM454,836 clients4,961 advisers26 offices

Career on record

Frank Rispoli has been registered through MML Investors Services since June 2022, and before that through Royal Alliance Associates, Inc. and Signator Investors, Inc..

Firms and exams, newest first
  1. Passed Series 99TO · 2023
  2. Mml Investors Services, LLCCurrent
    – present · 4 years
    Mansfield, MA · Adviser representative and broker · Firm CRD 10409
  3. Royal Alliance Associates, Inc.
    – · 3 years
    Needham Heights, MA · Adviser representative · Firm CRD 23131
  4. Signator Investors, Inc.
    – · under a year
    Boston, MA · Adviser representative · Firm CRD 468
  5. Passed SIE and Series 66 · 2018
  6. Passed Series 24 and Series 63 · 2017
  7. Passed Series 7 · 2015
  8. Passed Series 27 · 2006

Registrations and exams

Frank Rispoli has a current investment-adviser registration in Connecticut and has passed 7 qualifying exams.

Connecticut17 June 2022
Scope
Investment adviser representative
Status
Approved

Examinations

Series 669 October 2018
Name
Uniform Combined State Law Examination
Series 636 July 2017
Name
Uniform Securities Agent State Law Examination
Series 2423 May 2017
Name
General Securities Principal Examination
Series 2710 November 2006
Name
Financial and Operations Principal Examination
Series 99TO2 January 2023
Name
Operations Professional Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 721 December 2015
Name
General Securities Representative Examination

Individual record

Full name
Frank Joseph Rispoli
CRD
4364402
Firm
MML Investors Services, LLC
Registration status
Investment adviser and broker registrations

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Common questions

Where does Frank Rispoli work?

Frank Rispoli has been Chief Financial Officer and Treasurer of MML Investors Services, LLC since June 2022, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 3 September 2026

Is Frank Rispoli a financial advisor?

Yes. Frank Rispoli has a current investment-adviser registration in Connecticut, through MML Investors Services since June 2022, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

How many years of experience does Frank Rispoli have?

Frank Rispoli has worked in the financial industry for 19 years as of 17 October 2026, counted from 18 December 2006, across 3 adviser firms.

Source: IAPD individual record, checked 17 October 2026

What exams has Frank Rispoli passed?

Frank Rispoli has passed 7 licensing exams: the Series 27, Series 7, Series 24, Series 63, SIE, Series 66 and Series 99TO. The earliest, the Series 27, was passed in November 2006.

Source: IAPD individual record, checked 17 October 2026

Where did Frank Rispoli work before MML Investors Services?

Before MML Investors Services, Frank Rispoli was registered through Royal Alliance Associates, Inc., May 2019 to June 2022; Signator Investors, Inc., October 2018 to November 2018.

Source: IAPD individual record, checked 17 October 2026

Leadership at MML Investors Services

Sources

  1. IAPD individual record, CRD 4364402. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of MML Investors Services, LLC, filed 3 September 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Frank Rispoli or MML Investors Services, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.