• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
RICHARD FRIAGLIA
RICHARD CHARLES FRIAGLIA
CRD#: 3098117
IA
Investment Adviser
B
Broker
MML INVESTORS SERVICES, LLCCRD#: 10409 184 Liberty Corner Rd
Suite 315
Warren, NJ 07059
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2000 (2 years)2 FIRMS2002 - 2003 (1 year)2 FIRMS2003 - 2005 (1 year)2 FIRMS2011 - 2013 (1 year)IAMML INVESTORS SERVICES, LLC (CRD# 10409)2014 - Present (11 years)BMML INVESTORS SERVICES, LLC (CRD# 10409)2013 - Present (11 years)BNEW ENGLAND SECURITIES (CRD# 615)2005 - 2011 (6 years)B1717 CAPITAL MANAGEMENT COMPANY (CRD# 4082)2000 - 2002 (1 year)IANEW ENGLAND SECURITIES CORPORATION (CRD# 615)2006 - 2011 (5 years)
License(s)

State Registrations

B
New Jersey 3/19/2013

B
New York 3/19/2013

IA
New Jersey 1/24/2014

B
Pennsylvania 11/20/2017

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MML INVESTORS SERVICES, LLC (CRD#:10409)
184 Liberty Corner Rd Suite 315, Warren, NJ 07059
CEDAR GROVE, NJ
Registered with this firm since 1/24/2014

B
MML INVESTORS SERVICES, LLC (CRD#:10409)
184 Liberty Corner Rd Suite 315, Warren, NJ 07059
CEDAR GROVE, NJ
Registered with this firm since 3/19/2013

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
06/09/2011 - 01/24/2013 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) PARSIPPANY, NJ
B
06/09/2011 - 01/24/2013 SECURIAN FINANCIAL SERVICES, INC. (CRD#:15296) PARSIPPANY, NJ
IA
02/24/2006 - 05/24/2011 NEW ENGLAND SECURITIES CORPORATION (CRD#:615) FAIRFIELD, NJ
B
01/06/2005 - 05/24/2011 NEW ENGLAND SECURITIES (CRD#:615) FAIRFIELD, NJ
IA
06/04/2003 - 01/03/2005 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) EDISON, NJ
B
06/05/2003 - 01/03/2005 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) CONSHOHOCKEN, PA
IA
07/30/2002 - 06/04/2003 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) EDISON, NJ
B
01/09/2002 - 06/04/2003 HORNOR, TOWNSEND & KENT, INC. (CRD#:4031) CONSHOHOCKEN, PA
B
08/22/2000 - 01/18/2002 1717 CAPITAL MANAGEMENT COMPANY (CRD#:4082) NEWARK, DE
B
08/26/1998 - 08/29/2000 AXA ADVISORS, LLC (CRD#:6627) NEW YORK, NY
B
08/26/1998 - 01/05/2000 THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (CRD#:4039) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
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.