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CFP
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CFP

Kathryn Fitzgerald

MML Investors Services, LLC
37 Years of Experience
Napa, CA
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Kathryn Fitzgerald is a CFP-designated registered investment advisor at MML Investors Services, LLC, based in Napa, CA, with 37 years of industry experience. Kathryn 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.

MML Investors Services, LLC
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.

View Full SEC Brochure

Location

1700 Soscol Avenue, Suite 24, Napa, CA, 94559

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History

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
October 2011
Closed-No Action
Customer Dispute
August 2009
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Kathryn is an independent insurance agent with Silverleaf Financial Management and Insurance Services, selling fixed annuities, life, accident, and health insurance since 2018. This requires minimal time.

Employment History
Current Registrations
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
July 2014 - March 2017 · 2 yrs 8 mos
Msi Financial Services, INC.
July 2014 - March 2017 · 2 yrs 8 mos
Newport Coast Asset Management
March 2010 - July 2014 · 4 yrs 4 mos
Newport Coast Securities, INC.Broker
March 2010 - July 2014 · 4 yrs 4 mos
National Asset Management, INC.
July 2007 - March 2010 · 2 yrs 8 mos
National Securities CorporationBroker
July 2007 - March 2010 · 2 yrs 8 mos
Wedbush Morgan Securities INC.Broker
June 2007 - July 2007 · 1 mo
Wedbush Morgan Securities INC.
June 2007 - July 2007 · 1 mo
Brookstreet Capital Management
January 2006 - June 2007 · 1 yr 5 mos
Brookstreet Securities CorporationBroker
January 2006 - June 2007 · 1 yr 5 mos
Investacorp Advisory Services INC
August 1999 - December 2005 · 6 yrs 4 mos
Investacorp, INC.Broker
August 1999 - December 2005 · 6 yrs 4 mos
Quest Capital Strategies, INC.Broker
May 1996 - September 1999 · 3 yrs 4 mos
Essex National Securities, INC.Broker
September 1991 - October 1995 · 4 yrs 1 mo
Mony Securities CORP.Broker
September 1990 - September 1991 · 1 yr
Franklin Distributors, INC.Broker
June 1987 - May 1989 · 1 yr 11 mos
State Registrations36 states
AKALARAZCACOCTFLGAIDILINKSLAMAMEMIMNMOMSMTNCNJNMNVNYOHOKORPASCSDTNTXUTWA
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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