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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)25 years in industry

Philip Michael Napolitano

Advisor at MML INVESTORS SERVICES, LLC

Waterbury, CT | GLASTONBURY, CT

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Search this name across graphsid dfx:ria:8f6bb3c2-4572-2d5a-b9e6-7ca6342095fd

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:40 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 2
On other graphs: 0
Observed: May 7, 2004 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: Oct 19, 2000earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S66|S65|S63
First exam: Oct 19, 2000
First registration: May 7, 2004
Dual registered: yes, broker-dealer
Other names: Philip Michael Napolitano|PHILIP MICHAEL NAPOLITANO|Philip M Napolitano|Philip Napolitano|Philip Napolitano
IAPD individual key: 4269360

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	Dec 17, 2025	n/a	yes	GLASTONBURY, CT\|Waterbury, CT	Current employment
LPL FINANCIAL LLC	Bd affiliated wealth	Jul 18, 2023	Dec 16, 2025	no	WATERBURY, CT\|GLASTONBURY, CT	Previous registration
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	Jan 7, 2019	Jul 5, 2023	no	MANCHESTER, CT\|East Hartford, CT\|East Hartford, CT\|Cohoes, NY\|BROOKLYN, OH	Previous registration
EDWARD JONES	National bd RIA	Oct 5, 2018	Nov 28, 2018	no	Waterbury, CT\|ST LOUIS, MO	Previous registration
3D ASSET MANAGEMENT, INC.	Former SEC adviser	Feb 4, 2014	Nov 4, 2014	no	HARTFORD, CT	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	Mar 28, 2013	Jan 6, 2014	no	WOLCOTT, CT\|Wickford, RI\|Waterbury, CT\|WOLCOTT, CT\|Bristol, CT\|WATERBURY, CT	Previous registration
AST INVESTMENT SERVICES, INC.	Asset manager	Mar 20, 2006	Nov 18, 2011	no	SHELTON, CT	Previous registration
QUICK & REILLY, INC.	n/a	May 7, 2004	Aug 13, 2004	no	OLD LYME, 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	Dec 16, 2025	Dec 17, 2025	1	Firm change	Ibd to ibd
KEY INVESTMENT SERVICES LLC	LPL FINANCIAL LLC	Jul 5, 2023	Jul 18, 2023	13	Firm change	Ibd to ibd
EDWARD JONES	KEY INVESTMENT SERVICES LLC	Nov 28, 2018	Jan 7, 2019	40	Firm change	Ibd to ibd
3D ASSET MANAGEMENT, INC.	EDWARD JONES	Nov 4, 2014	Oct 5, 2018	1,431	Firm change after gap	Other
SANTANDER SECURITIES	3D ASSET MANAGEMENT, INC.	Jan 6, 2014	Feb 4, 2014	29	Firm change	Other
AST INVESTMENT SERVICES, INC.	SANTANDER SECURITIES	Nov 18, 2011	Mar 28, 2013	496	Firm change after gap	Other
QUICK & REILLY, INC.	AST INVESTMENT SERVICES, INC.	Aug 13, 2004	Mar 20, 2006	584	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
136300:6413:OH:2023-06-16	Jul 5, 2023	Jul 18, 2023	BROOKLYN, OH	Firm change

Relationships

Registered with (8)

→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: current employment
Dec 17, 2025 to presentfactForm ADV
→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Jul 18, 2023 to Dec 16, 2025factForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Jan 7, 2019 to Jul 5, 2023factForm ADV
→ EDWARD JONESRegistered adviserregistration: previous registration
Oct 5, 2018 to Nov 28, 2018factForm ADV
→ 3D ASSET MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 4, 2014 to Nov 4, 2014factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
Mar 28, 2013 to Jan 6, 2014factForm ADV
→ AST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Mar 20, 2006 to Nov 18, 2011factForm ADV
→ QUICK & REILLY, INC.Registered adviserregistration: previous registration
May 7, 2004 to Aug 13, 2004factForm ADV

Dated events

Occurred
Dec 16, 2025
Advisor changed firm
Philip Michael Napolitano left Lpl Financial Llc for Mml Investors Services, Llc (registered 2025-12-17)
Form ADVobserved 6 days ago
Occurred
Jul 5, 2023
Advisor changed firm
Philip Michael Napolitano left Key Investment Services Llc for Lpl Financial Llc (registered 2023-07-18)
Form ADVobserved 6 days ago