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Karl Justin Stuppnig

Mml Investors Services, LLC

Charlotte, NC

CRD 2964308

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Employer firm

Mml Investors Services, LLC CRD 10409

$116B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Mml Investors Services, Llc

1295 State Street, Springfield, MA 01111-0001 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2024-02-14
NC RA APPROVED 2017-03-25
  • TX RA
    APPROVED_RES
    Since 2024-02-14
  • NC RA
    APPROVED
    Since 2017-03-25

Branch Locations

11121 Carmel Commons Boulevard Suite 410, Charlotte, NC 28226 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal Yes
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Metlife Securities, Inc. Charlotte NC 01/2012 03/2017
Mml Investors Services, Llc Charlotte NC 03/2017 Present
Massmutual Life Insurance Co Charlotte NC 07/2016 Present
  • 01/2012 → 03/2017
    Metlife Securities, Inc.
    Charlotte, NC
  • 03/2017 → Present
    Charlotte, NC
  • 07/2016 → Present
    Massmutual Life Insurance Co
    Charlotte, NC
Previous Registrations
  • 2012-12-03 → 2017-03-25
    Msi Financial Services, Inc.
    Charlotte, NC
Other Businesses

1) INDEPENDENT INSURANCE AGENT- BUSIENSS ADDRESS -DISABILITY, LIFE/ACCIDENT/HEALTH, LONG-TERM CARE-1HRS SECURITIES, 0HRS NONSECURITIES-SINCE 05/1996 2) INDEPENDENT INSURANCE AGENT-FROM BUSINESS ADDRESS-DENTAL AND GROUP DISABILITY INCOME & LIFE/ACCIDENT/HEALTH-1HRS SECURITIES, 0HRS NONSECURUTIES-SINCE 3/2011

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1999-11-22
  • S63 Uniform Securities Agent State Law Examination
    1999-11-22
Designations
  • Chartered Financial Consultant
Other Names
  • Karl J Stuppnig
  • Karl Stuppnig

View on SEC IAPD

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