James Cleary
James Cleary is a registered investment advisor at MML Investors Services, LLC, based in Newtown Square, PA, with 42 years of industry experience. James 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
16 Campus Blvd, Suite 200, Newtown Square, PA, 19073
Get directionsHistory
Regulatory History (6)
Customer Dispute
March 2014Customer Dispute
May 2005Customer Dispute
December 2004Customer Dispute
September 2004Customer Dispute
April 2004Criminal
March 1974Other Business ActivitiesSells Insurance
James is an agent for a non-MMLIA insurance brokerage since 2011 and also an agent for life settlements/viaticals since 2019, dedicating minimal time to each. He also owns rental property, has ownership in a property and casualty company, and acts as a trustee for trusts.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Msi Financial Services, INC.
Msi Financial Services, INC.Broker
Newsquare Capital, LLC
New England Securities Corporation
New England SecuritiesBroker
Travelers Equities Sales, INC.Broker
State Registrations12 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.