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RIA / WealthAdvisordual registered (broker-dealer)25 years in industry

ARTURO LOPEZ UNZUETA

Advisor at MML INVESTORS SERVICES, LLC

El Segundo, CA | Ontario, CA

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Search this name across graphsid dfx:ria:8f9ec589-bb06-6532-c752-ea3647d48512

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 9:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: Jan 22, 2007 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: Jul 31, 2001earliest registration or exam on IAPD
Years in industry: 25derivedfrom the industry start date
Years at current firm: 13derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Jul 31, 2001
First registration: Jan 22, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 2901519

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	Nov 27, 2012	n/a	yes	El Segundo, CA\|Ontario, CA	Current employment
MORGAN STANLEY	Wirehouse	Jun 3, 2011	Oct 26, 2012	no	BREA, CA	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Apr 15, 2011	May 23, 2011	no	EL SEGUNDO, CA	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Jan 22, 2007	Oct 12, 2009	no	GLENDALE, CA\|ROSEVILLE, CA\|LONG BEACH, CA\|Newport Beach, CA\|LOS ANGELES, 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
MORGAN STANLEY	MML INVESTORS SERVICES, LLC	Oct 26, 2012	Nov 27, 2012	32	Firm change	Other
CETERA ADVISOR NETWORKS LLC	MORGAN STANLEY	May 23, 2011	Jun 3, 2011	11	Firm change	Other
AMERIPRISE FINANCIAL SERVICES, LLC	CETERA ADVISOR NETWORKS LLC	Oct 12, 2009	Apr 15, 2011	550	Firm change after gap	Other

Relationships

Registered with (4)

→ MML INVESTORS SERVICES, LLCRegistered adviserregistration: current employment
Nov 27, 2012 to presentfactForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 3, 2011 to Oct 26, 2012factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Apr 15, 2011 to May 23, 2011factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Jan 22, 2007 to Oct 12, 2009factForm ADV

Dated events

No dated event names this entity yet.