Richard Cote
Richard Cote is a registered investment advisor at MML Investors Services, LLC, based in Syracuse, NY, with 35 years of industry experience. Richard 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
125 E Jefferson St, Suite 800, Syracuse, NY, 13202-2566
Get directionsHistory
Regulatory History (1)
Customer Dispute
October 2014Other Business Activities
Richard is a limited liability partner in Spruce Hill Farm LLC, which operates as an AirB&B, dedicating about 10-20% of his time. He also owns 50% of Limestone Advisory, LLC for payment of expenses, spending minimal time on management duties.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Msi Financial Services, INC.Broker
New England SecuritiesBroker
State Registrations23 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.