David Morales
David Morales is a registered investment advisor at MML Investors Services, LLC, based in Rocky Hill, CT, with 37 years of industry experience. David 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
175 Capital Blvd, Suite 205, Rocky Hill, CT, 06067
Get directionsHistory
Regulatory History (3)
Customer Dispute
May 2013Customer Dispute
February 2007Customer Dispute
January 2003Other Business ActivitiesSells Insurance
David is an agent for property/casualty and Medicare supplement insurance, dedicating minimal time to this. He is also a notary, spending minimal time on this activity as well.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Emmett a Larkin Company, INC.Broker
Msi Financial Services, INC.
Msi Financial Services, INC.Broker
Metropolitan Life Insurance CompanyBroker
State Registrations19 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.