HOLLY BROWN CARROCCIO

HOLLY BROWN CARROCCIO is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 10000 N CENTRAL EXPRESSWAY, SUITE 1200, DALLAS, TX, 75231.

HOLLY BROWN CARROCCIO has worked at MML INVESTORS SERVICES, LLC since April 09, 2001

Disclosure History

HOLLY BROWN CARROCCIO has 2 Disclosure Event(s).

Date: October 11, 2016
Category: Customer Dispute
Allegations: Alleges that in 2010 the registered rep advised to purchase two REIT's and omitted that the product was not redeemable.
Settlement Amount: $21,686.13
Broker Comment: Internal case number 201626218.

Date: June 30, 2008
Category: Customer Dispute
Allegations: ALLEGES THAT THE REPRESENTATIVE DID NOT DISCLOSE THAT THE FEES BEING PAID ON THIS ACCOUNT WERE BEING SPLIT BETWEEN THE MONEY MANAGER AND MMLISI. NO DAMAGE AMOUNT STATED.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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