TC
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Thomas Cataldo
44 Years of Experience
Boston, MA
2 DisclosuresBroker
Thomas Cataldo is a registered investment advisor at MML Investors Services, LLC, based in Boston, MA, with 44 years of industry experience. Thomas is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 454,836 clients with $120B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5086 advisors
IM Fee
Planning only
Assets Under Management
$115.6B
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
1 Marina Park Drive, Ste 1600, Boston, MA, 02210-1832
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2009Denied
Customer Dispute
March 1999Denied
Employment History
Current Registrations
MML Investors Services, LLC
August 2017 - Present · 9 yrs 2 mos
MML Investors Services, LLCBroker
March 2017 - Present · 9 yrs 7 mos
MML Investors Services, LLC
March 2017 - Present · 9 yrs 7 mos
Previous Registrations
Msi Financial Services, INC.Broker
January 2015 - March 2017 · 2 yrs 2 mos
New England SecuritiesBroker
May 1982 - January 2015 · 32 yrs 8 mos
State Registrations10 states
FLMAMENCNHNJNYRITXVT
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.
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