NEIL EDWARD GRONOWETTER

NEIL EDWARD GRONOWETTER is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 6 CORPORATE DRIVE, SHELTON, CT, 06484.

NEIL EDWARD GRONOWETTER has worked at MML INVESTORS SERVICES, LLC since January 16, 2018

Disclosure History

NEIL EDWARD GRONOWETTER has 8 Disclosure Event(s).

Date: October 14, 2011
Category: Financial
Type: Compromise
Disposition: Direct Payment Procedure

Date: May 10, 2011
Category: Financial
Type: Compromise
Disposition: Direct Payment Procedure

Date: April 26, 2011
Category: Financial
Type: Compromise
Disposition: Direct Payment Procedure

Date: February 04, 2011
Category: Financial
Type: Compromise
Disposition: Direct Payment Procedure

Date: November 10, 2010
Category: Financial
Type: Compromise
Disposition: Direct Payment Procedure

Date: March 31, 2010
Category: Financial
Type: Compromise
Disposition: Direct Payment Procedure

Date: March 31, 2010
Category: Financial
Type: Compromise
Disposition: Direct Payment Procedure
Broker Comment: PAID IN FULL 6/30/2010

Date: March 31, 2010
Category: Financial
Type: Compromise
Disposition: Direct Payment Procedure

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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