Individual Firm
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THOMAS WARD NAYLOR
CRD#: 1299505
IA
B
MML INVESTORS SERVICES, LLCCRD#: 10409 4275 EXECUTIVE SQUARE
SUITE 450
LA JOLLA, CA 92037
SUITE 450
LA JOLLA, CA 92037
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11/12/2010
Customer Dispute
Settled
2/24/1999
Customer Dispute
Settled
State Registrations
B
Alaska 8/11/2021
B
Missouri 4/5/2022
B
Arizona 5/9/1997
B
Nevada 6/20/2007
B
California 2/8/1993
B
New Jersey 1/11/2016
IA
California 7/8/1997
B
New Mexico 7/20/2021
B
Colorado 1/27/2005
B
New York 10/19/2018
B
Florida 9/24/2004
B
Oregon 9/20/2000
B
Georgia 3/21/2024
IA
Texas 4/22/2015
B
Hawaii 9/8/2004
B
Texas 5/4/2015
B
Idaho 9/25/2000
B
Utah 10/19/1993
B
Indiana 2/1/2024
IA
Utah 4/1/2025
B
Maryland 1/7/2022
B
Virginia 6/15/1999
B
Massachusetts 12/27/2018
B
Washington 6/23/2005
B
Michigan 5/24/2019
B
Wisconsin 9/17/2013
B
Minnesota 2/20/2025
SRO Registrations
B
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IA
Registered with this firm since 7/8/1997
B
Registered with this firm since 2/2/1993
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 07/13/1988 - 02/04/1993 | GLEN ALLEN, VA | |
B | 03/14/1985 - 07/09/1988 | ||
B | 12/19/1984 - 05/07/1985 |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.