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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

ROGER STEPHEN SZCZYPIEN

Advisor at MML INVESTORS SERVICES, LLC

Houston, TX

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Search this name across graphsid dfx:ria:299bd768-ca1f-7cee-e06d-960d2670699e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Apr 25, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MML INVESTORS SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 24, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 5derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Apr 24, 2007
First registration: Apr 25, 2007
Dual registered: yes, broker-dealer
Other names: ROGER SZCZYPIEN
IAPD individual key: 4949095

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MML INVESTORS SERVICES, LLC	Bd affiliated wealth	Sep 17, 2021	n/a	yes	Houston, TX	Current employment
WELLS FARGO ADVISORS	Wirehouse	Mar 30, 2012	Sep 22, 2021	no	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|LA PORTE, TX\|CHANNELVIEW, TX\|BAYTOWN, TX\|MONT BELVIEU, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|LIBERTY, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	Apr 8, 2010	Mar 30, 2012	no	HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX\|HOUSTON, TX	Previous registration
PARK AVENUE SECURITIES LLC	Bd affiliated wealth	Oct 29, 2009	Mar 10, 2010	no	HOUSTON, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Sep 27, 2007	Sep 18, 2009	no	HOUSTON, TX\|ADDISON, TX\|HOUSTON, TX\|ADDISON, TX	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Apr 25, 2007	Sep 11, 2007	no	HOUSTON, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
WELLS FARGO ADVISORS	MML INVESTORS SERVICES, LLC	Sep 22, 2021	Sep 17, 2021	-5	Firm change	Wirehouse to ibd
CHASE INVESTMENT SERVICES CORP.	WELLS FARGO ADVISORS	Mar 30, 2012	Mar 30, 2012	0	Firm change	Other
PARK AVENUE SECURITIES LLC	CHASE INVESTMENT SERVICES CORP.	Mar 10, 2010	Apr 8, 2010	29	Firm change	Other
WELLS FARGO ADVISORS	PARK AVENUE SECURITIES LLC	Sep 18, 2009	Oct 29, 2009	41	Firm change	Other
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Sep 11, 2007	Sep 27, 2007	16	Firm change	Other

Relationships

Registered with (5)

→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: current employment
Sep 17, 2021 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Mar 30, 2012 to Sep 22, 2021factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
Apr 8, 2010 to Mar 30, 2012factForm ADV
→ PARK AVENUE SECURITIES LLCRegistered adviserregistration: previous registration
Oct 29, 2009 to Mar 10, 2010factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Apr 25, 2007 to Sep 11, 2007factForm ADV

Dated events

No dated event names this entity yet.