Robert Carty
Robert Carty is a registered investment advisor at MML Investors Services, LLC, based in Palm Desert, CA, with 32 years of industry experience. Robert 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
74-710 Highway 111, Unit 102, Palm Desert, CA, 92260
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
May 2009Other Business ActivitiesSells Insurance
Robert sells individual life and group life/health insurance. This activity requires a few hours per week.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Northwestern Mutual Investment Services,llc
Northwestern Mutual Investment Services, LLCBroker
Sentra Securities CORP
Sentra Securities CorporationBroker
H&r Block Financial Advisors, INC.Broker
Cruttenden & CO., INC.Broker
Sutro & CO. IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Sutro & CO. IncorporatedBroker
Smith Barney, Harris Upham & CO., IncorporatedBroker
State Registrations2 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.