Kathryn Fitzgerald
Kathryn Fitzgerald is a CFP-designated registered investment advisor at MML Investors Services, LLC, based in Napa, CA, with 36 years of industry experience. Kathryn 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
1700 Soscol Avenue, Suite 24, Napa, CA, 94559
Get directionsHistory
Regulatory History (2)
Customer Dispute
October 2011Customer Dispute
August 2009Other 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, LLC
MML Investors Services, LLCBroker
Previous Registrations
Msi Financial Services, INC.Broker
Msi Financial Services, INC.
Newport Coast Asset Management
Newport Coast Securities, INC.Broker
National Asset Management, INC.
National Securities CorporationBroker
Wedbush Morgan Securities INC.Broker
Wedbush Morgan Securities INC.
Brookstreet Capital Management
Brookstreet Securities CorporationBroker
Investacorp Advisory Services INC
Investacorp, INC.Broker
Quest Capital Strategies, INC.Broker
Essex National Securities, INC.Broker
Mony Securities CORP.Broker
Franklin Distributors, INC.Broker
State Registrations36 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.