DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Douglas Marc Singer

Advisor at MML INVESTORS SERVICES, LLC

Scottsdale, AZ | SCOTTSDALE, AZ

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:76ae10b9-8d13-8bc8-2548-b03b7da9def4

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 1
On other graphs: 0
Observed: Jul 6, 2006 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: Jun 29, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 12
Current registrations: 1
Registered states: 1
Exams: S66|S63
First exam: Jun 29, 2006
First registration: Jul 6, 2006
Dual registered: yes, broker-dealer
Other names: Douglas M Singer|DOUG SINGER|DOUGLAS MARC SINGER
IAPD individual key: 2311597

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	Oct 24, 2025	n/a	yes	Scottsdale, AZ\|SCOTTSDALE, AZ	Current employment
NAUTICA ASSET MANAGEMENT LLC	State registered	Mar 23, 2023	Nov 4, 2024	no	CANTON, MI	Previous registration
IP FINANCIAL ADVISORY SERVICES LLC	Independent wealth	Apr 30, 2021	Oct 12, 2021	no	CHARLOTTE, NC\|Scottsdale, AZ	Previous registration
SECOND LOOK FINANCIAL, LLC.	State registered	Jun 2, 2020	Mar 31, 2021	no	Scottsdale, AZ\|SCOTTSDALE, AZ	Previous registration
PELLETON CAPITAL MANAGEMENT, LTD.	State registered	Jan 24, 2018	Sep 9, 2019	no	SCOTTSDALE, AZ	Previous registration
BROOKSTONE WEALTH ADVISORS, LLC	No RAUM reported	Nov 22, 2016	Dec 15, 2016	no	Scottsdale, AZ	Previous registration
REDHAWK WEALTH ADVISORS, INC.	Independent wealth	Sep 23, 2014	May 3, 2016	no	SCOTTSDALE, AZ	Previous registration
BENJAMIN & JEROLD ADVISERS, LLC	Former SEC adviser	Dec 23, 2013	Dec 31, 2014	no	EAST ISLIP, NY	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Sep 28, 2010	Aug 22, 2012	no	SCOTTSDALE, AZ\|CHANDLER, AZ\|PENNINGTON, NJ\|CHANDLER, AZ\|SCOTTSDALE, AZ	Previous registration
NEXT FINANCIAL GROUP, INC.	Former SEC adviser	May 28, 2009	Oct 15, 2010	no	SCOTTSDALE, AZ\|SCOTTSDALE, AZ	Previous registration
ASHLAY ASSET MANAGEMENT GROUP, INC.	n/a	Feb 11, 2009	Mar 10, 2011	no	SCOTTSDALE, AZ	Previous registration
COPPERWYND FINANCIAL	Former SEC adviser	Feb 26, 2008	Nov 7, 2008	no	SCOTTSDALE, AZ	Previous registration
DFW & ASSOCIATES	n/a	Jul 6, 2006	Jan 11, 2007	no	NEWPORT BEACH, CA	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
NAUTICA ASSET MANAGEMENT LLC	MML INVESTORS SERVICES, LLC	Nov 4, 2024	Oct 24, 2025	354	Firm change	Other
IP FINANCIAL ADVISORY SERVICES LLC	NAUTICA ASSET MANAGEMENT LLC	Oct 12, 2021	Mar 23, 2023	527	Firm change after gap	Ibd to state RIA
SECOND LOOK FINANCIAL, LLC.	IP FINANCIAL ADVISORY SERVICES LLC	Mar 31, 2021	Apr 30, 2021	30	Firm change	Other
PELLETON CAPITAL MANAGEMENT, LTD.	SECOND LOOK FINANCIAL, LLC.	Sep 9, 2019	Jun 2, 2020	267	Firm change	Other
BROOKSTONE WEALTH ADVISORS, LLC	PELLETON CAPITAL MANAGEMENT, LTD.	Dec 15, 2016	Jan 24, 2018	405	Firm change after gap	Other
REDHAWK WEALTH ADVISORS, INC.	BROOKSTONE WEALTH ADVISORS, LLC	May 3, 2016	Nov 22, 2016	203	Firm change	Other
BENJAMIN & JEROLD ADVISERS, LLC	REDHAWK WEALTH ADVISORS, INC.	Dec 31, 2014	Sep 23, 2014	-99	Firm change after gap	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	BENJAMIN & JEROLD ADVISERS, LLC	Aug 22, 2012	Dec 23, 2013	488	Firm change after gap	Wirehouse to new firm
ASHLAY ASSET MANAGEMENT GROUP, INC.	NEXT FINANCIAL GROUP, INC.	Mar 10, 2011	May 28, 2009	-651	Firm change after gap	Other
NEXT FINANCIAL GROUP, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Oct 15, 2010	Sep 28, 2010	-17	Firm change	Other
COPPERWYND FINANCIAL	ASHLAY ASSET MANAGEMENT GROUP, INC.	Nov 7, 2008	Feb 11, 2009	96	Firm change	Other
DFW & ASSOCIATES	COPPERWYND FINANCIAL	Jan 11, 2007	Feb 26, 2008	411	Firm change after gap	Other

Relationships

Registered with (13)

→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: current employment
Oct 24, 2025 to presentfactForm ADV
→ NAUTICA ASSET MANAGEMENT LLCRegistered adviserregistration: previous registration
Mar 23, 2023 to Nov 4, 2024factForm ADV
→ IP FINANCIAL ADVISORY SERVICES LLCRegistered adviserregistration: previous registration
Apr 30, 2021 to Oct 12, 2021factForm ADV
→ SECOND LOOK FINANCIAL, LLC.Registered adviserregistration: previous registration
Jun 2, 2020 to Mar 31, 2021factForm ADV
→ PELLETON CAPITAL MANAGEMENT, LTD.Registered adviserregistration: previous registration
Jan 24, 2018 to Sep 9, 2019factForm ADV
→ BROOKSTONE WEALTH ADVISORS, LLCRegistered adviserregistration: previous registration
Nov 22, 2016 to Dec 15, 2016factForm ADV
→ REDHAWK WEALTH ADVISORS, INC.Registered adviserregistration: previous registration
Sep 23, 2014 to May 3, 2016factForm ADV
→ BENJAMIN & JEROLD ADVISERS, LLCRegistered adviserregistration: previous registration
Dec 23, 2013 to Dec 31, 2014factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Sep 28, 2010 to Aug 22, 2012factForm ADV
→ ASHLAY ASSET MANAGEMENT GROUP, INC.Registered adviserregistration: previous registration
Feb 11, 2009 to Mar 10, 2011factForm ADV
→ NEXT FINANCIAL GROUP, INC.Registered adviserregistration: previous registration
May 28, 2009 to Oct 15, 2010factForm ADV
→ COPPERWYND FINANCIALRegistered adviserregistration: previous registration
Feb 26, 2008 to Nov 7, 2008factForm ADV
→ DFW & ASSOCIATESRegistered adviserregistration: previous registration
Jul 6, 2006 to Jan 11, 2007factForm ADV

Dated events

Occurred
Nov 4, 2024
Advisor changed firm
Douglas Marc Singer left Nautica Asset Management Llc for Mml Investors Services, Llc (registered 2025-10-24)
Form ADVobserved 6 days ago