DFX Intelligence

Data Factory

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

Joe Lee

Advisor at MML INVESTORS SERVICES, LLC

SPRINGFIELD, MA | Sarasota, FL

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:5a7c8283-86fc-bf65-bf10-7ef274a6131e

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 12:50 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Feb 25, 2014 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: Feb 22, 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: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Feb 22, 2007
First registration: Feb 25, 2014
Dual registered: yes, broker-dealer
IAPD individual key: 2480725

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 10, 2021	n/a	yes	Sarasota, FL\|SPRINGFIELD, MA	Current employment
WELLS FARGO ADVISORS	Wirehouse	Apr 16, 2020	Aug 5, 2021	no	LAKEWOOD RANCH, FL	Previous registration
RAYMOND JAMES & ASSOCIATES, INC.	National bd RIA	Mar 11, 2019	Aug 15, 2019	no	ST. PETERSBURG, FL	Previous registration
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Mar 2, 2018	Feb 19, 2019	no	PHILADELPHIA, PA\|ST PETERSBURG, FL	Previous registration
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	Former SEC adviser	Nov 20, 2015	Nov 9, 2017	no	SARASOTA, FL	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Aug 12, 2014	May 12, 2015	no	VENICE, FL	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Feb 25, 2014	Jun 4, 2014	no	SARASOTA, FL	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	Aug 5, 2021	Aug 10, 2021	5	Firm change	Wirehouse to ibd
RAYMOND JAMES & ASSOCIATES, INC.	WELLS FARGO ADVISORS	Aug 15, 2019	Apr 16, 2020	245	Firm change	Ibd to wirehouse
TRANSAMERICA FINANCIAL ADVISORS, LLC	RAYMOND JAMES & ASSOCIATES, INC.	Feb 19, 2019	Mar 11, 2019	20	Firm change	Ibd to ibd
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	TRANSAMERICA FINANCIAL ADVISORS, LLC	Nov 9, 2017	Mar 2, 2018	113	Firm change	Other
J.P. MORGAN SECURITIES LLC	GLOBAL FINANCIAL PRIVATE CAPITAL, INC.	May 12, 2015	Nov 20, 2015	192	Firm change	Other
STRATEGIC ADVISERS LLC	J.P. MORGAN SECURITIES LLC	Jun 4, 2014	Aug 12, 2014	69	Firm change	Ibd to wirehouse

Relationships

Registered with (7)

→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: current employment
Aug 10, 2021 to presentfactForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Apr 16, 2020 to Aug 5, 2021factForm ADV
→ RAYMOND JAMES & ASSOCIATES, INC.Registered adviserregistration: previous registration
Mar 11, 2019 to Aug 15, 2019factForm ADV
→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: previous registration
Mar 2, 2018 to Feb 19, 2019factForm ADV
→ GLOBAL FINANCIAL PRIVATE CAPITAL, INC.Registered adviserregistration: previous registration
Nov 20, 2015 to Nov 9, 2017factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Aug 12, 2014 to May 12, 2015factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Feb 25, 2014 to Jun 4, 2014factForm ADV

Dated events

No dated event names this entity yet.