James Unger
James Unger is a CFP-designated registered investment advisor at MML Investors Services, LLC, based in Newtown Square, PA, with 36 years of industry experience. James 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
16 Campus Blvd, Suite 200, Newtown Square, PA, 19073
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Regulatory History (1)
Customer Dispute
May 2023Other Business ActivitiesSells Insurance
James is an insurance agent since 2011, selling various insurance products including life, health, disability, long-term care, and fixed annuities, dedicating minimal time. He also plays in a band and is a member/owner of Sugarfoot Advisors, LLC, dedicating minimal time to each.
Employment History
Current Registrations
MML Investors Services, LLCBroker
MML Investors Services, LLC
MML Investors Services, LLC
Previous Registrations
Msi Financial Services, INC.Broker
Msi Financial Services, INC.
Newsquare Capital, LLC
New England Securities Corporation
New England SecuritiesBroker
State Registrations21 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.