Brian Gaine
Brian Gaine is a registered investment advisor at MML Investors Services, LLC, based in Hopewell Junction, NY, with 32 years of industry experience. Brian 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
2537 Route 52, Suite 1 Bldg 3, Hopewell Junction, NY, 12533
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Regulatory History (1)
Customer Dispute
June 2019Other Business ActivitiesSells Insurance
Brian is a sales agent for individual life, health, disability, and long-term care insurance since 2009. He dedicates minimal time to this activity.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Northwestern Mutual Investment Services, LLCBroker
Robert W. Baird & CO. IncorporatedBroker
Domestic Securities, INC.Broker
Hms Securities INC.Broker
All-Tech Investment Group, INC.Broker
Thomas James Associates, INC.Broker
Reich & CO., INC.Broker
Reich & CO., INC.Broker
State Registrations5 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.