DFX Intelligence

Data Factory

RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)10 years in industry

Mark Alexander Monteiro

Advisor at MML INVESTORS SERVICES, LLC

Stratford, CT | SHELTON, CT

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:477b9fca-ecf8-0732-a645-3a683a41c421

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 8:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: May 29, 2019 to Sep 15, 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: Aug 1, 2016earliest registration or exam on IAPD
Years in industry: 10derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66
First exam: May 28, 2019
First registration: May 29, 2019
Dual registered: yes, broker-dealer
IAPD individual key: 6871908

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	Aug 18, 2025	n/a	yes	Stratford, CT\|SHELTON, CT	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Feb 1, 2023	Aug 28, 2025	no	STRATFORD, CT\|SAN DIEGO, CA\|STRATFORD, CT\|WESTPORT, CT\|NEWINGTON, CT\|WEST HARTFORD, CT\|WESTPORT, CT\|SHELTON, CT\|WESTPORT, CT\|STRATFORD, CT	Previous registration
SECURITIES AMERICA ADVISORS, INC.	Former SEC adviser	Sep 8, 2020	Feb 2, 2023	no	SHELTON, CT\|STRATFORD, CT\|STRATFORD, CT	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	May 29, 2019	Sep 17, 2020	no	SHELTON, CT	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
LPL FINANCIAL LLC	MML INVESTORS SERVICES, LLC	Aug 28, 2025	Aug 18, 2025	-10	Firm change	Ibd to ibd
SECURITIES AMERICA ADVISORS, INC.	LPL FINANCIAL LLC	Feb 2, 2023	Feb 1, 2023	-1	Bulk transfer	Ibd to RIA
LPL FINANCIAL LLC	SECURITIES AMERICA ADVISORS, INC.	Sep 17, 2020	Sep 8, 2020	-9	Firm change	Ibd to ibd

Relationships

Registered with (3)

→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: current employment
Aug 18, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Feb 1, 2023 to Aug 28, 2025factForm ADV
→ SECURITIES AMERICA ADVISORS, INC.Registered adviserregistration: previous registration
Sep 8, 2020 to Feb 2, 2023factForm ADV

Dated events

Occurred
Aug 28, 2025
Advisor changed firm
Mark Alexander Monteiro left Lpl Financial Llc for Mml Investors Services, Llc (registered 2025-08-18)
Form ADVobserved 4 days ago