Brian Caine
Brian Caine is a registered investment advisor at MML Investors Services, LLC, based in Holyoke, MA, with 37 years of industry experience. Brian 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
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
330 Whitney Avenue, Suite 600, Holyoke, MA, 01040
Get directionsHistory
Regulatory History (1)
Customer Dispute
December 1998Other Business ActivitiesSells Insurance
Brian is an insurance broker since 2010, selling and servicing life insurance, disability insurance, long-term care, health insurance, and fixed annuities. He dedicates minimal time to this activity.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
MML Investors Services, INC.
Usi Securities, INC.
Usi Securities, INC.Broker
MML Investors Services, INC.Broker
MML Investors Services, INC.Broker
Prudential Securities IncorporatedBroker
Smith Barney INC.Broker
Lehman Brothers INC.Broker
E. F. Hutton & Company INCBroker
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.
Exams
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