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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

ROY A SCHOENFELD

Advisor at MML INVESTORS SERVICES, LLC

Manalapan, NJ | New York, NY

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Data as of Sep 16, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:41 AM UTC and rebuilt at most every 15 minutes.

Relationships: 0
Dated events: 2
On other graphs: 0
Observed: Jul 10, 2012 to Sep 16, 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: Jul 6, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Jul 6, 2012
First registration: Jul 10, 2012
Dual registered: yes, broker-dealer
IAPD individual key: 6056017

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 15, 2026	n/a	yes	Manalapan, NJ\|New York, NY	Current employment
OSAIC WEALTH, INC.	Bd affiliated wealth	Jan 24, 2025	Sep 10, 2026	no	RED BANK, NJ	Previous registration
OSAIC FA, INC.	Former SEC adviser	Jun 13, 2019	Jan 24, 2025	no	MANALAPAN, NJ\|RED BANK, NJ	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 6, 2013	May 17, 2019	no	NEW YORK, NY	Previous registration
MORGAN STANLEY	Wirehouse	Jul 10, 2012	Jun 28, 2013	no	New York, NY	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
OSAIC WEALTH, INC.	MML INVESTORS SERVICES, LLC	Sep 10, 2026	Sep 15, 2026	5	Firm change	Ibd to ibd
OSAIC FA, INC.	OSAIC WEALTH, INC.	Jan 24, 2025	Jan 24, 2025	0	Bulk transfer	Ibd to ibd
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	OSAIC FA, INC.	May 17, 2019	Jun 13, 2019	27	Firm change	Wirehouse to ibd
MORGAN STANLEY	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Jun 28, 2013	Jun 6, 2013	-22	Firm change	Wirehouse to wirehouse

Relationships

No published relationship touches this entity yet.

Dated events

1 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 10, 2026
Advisor changed firm
Roy A Schoenfeld left Osaic Wealth, Inc. for MML Investors Services, LLC (registered 2026-09-15)
Form ADVobserved 3 days ago

Show 1 bookkeeping events

Occurred
Sep 15, 2026
Roy A Schoenfeld registered as an investment adviser representative at Mml Investors Services, Llc