Charles Locy
Charles Locy is a registered investment advisor at MML Investors Services, LLC, based in Cincinnati, OH, with 43 years of industry experience. Charles operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Retirement Planning. Their firm serves 392,809 clients with $90B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
MML Investors Services manages investment menus for retirement plans and offers a managed account service for participants.
For the overall plan, MMLIS selects and monitors investment options. For participants using the managed account service, fees are charged quarterly, up to a maximum of 0.60% per year of the account value. MMLIS receives 0.10% of this fee, with the remainder going to Morningstar and the recordkeeper. The exact fees vary by recordkeeper and whether the service is a Qualified Default Investment Alternative.
Location
3825 Edwards Road, Suite 210, Cincinnati, OH, 45209
Get directionsHistory
Regulatory History (1)
Customer Dispute
April 2009Other Business ActivitiesSells Insurance
Charles is an agent and owner of Mature Strategies, LLC, dealing with life, health, Medicare, Medicaid, and disabled veterans benefits. He also authors content for Mature Strategies, LLC, dedicating minimal time to these activities.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
MML Investors Services, LLC
Previous Registrations
AXA Advisors, LLC
AXA Advisors, LLC
AXA Advisors, LLCBroker
New England Securities Corporation
New England SecuritiesBroker
New England SecuritiesBroker
State Registrations6 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.