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Katherine Mclernon

MML Investors Services, LLC
34 Years of Experience
Amherst, NY
3 DisclosuresBroker
View SEC Summary
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Katherine Mclernon is a registered investment advisor at MML Investors Services, LLC, based in Amherst, NY, with 34 years of industry experience. Katherine 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.

MML Investors Services, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5086 advisors
IM Fee
Planning only
Assets Under Management
$115.6B

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

View Full SEC Brochure

Location

300 Corporate Pkwy, Suite 216N, Amherst, NY, 14226

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
December 2023
Denied
Customer Dispute
July 2010
Denied
Customer Dispute
October 1995
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
MML Investors Services, LLC
February 2011 - Present · 15 yrs 8 mos
MML Investors Services, LLCBroker
June 2005 - Present · 21 yrs 4 mos
Previous Registrations
Mony Securities CorporationBroker
May 2003 - May 2005 · 2 yrs
Cadaret, Grant & CO., INC.Broker
October 1991 - May 2003 · 11 yrs 7 mos
State Registrations11 states
AZCADEFLMINCNVNYTXVAWV
AdvisorBrokerBoth

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
No exam information available for this advisor.
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