EB
EB
Ernesto Barcelo
32 Years of Experience
Rochester, NY
3 DisclosuresBroker
Ernesto Barcelo is a registered investment advisor at MML Investors Services, LLC, based in Rochester, NY, with 32 years of industry experience. Ernesto 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.
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.
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Location
Rochester, NY
Get directionsHistory
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.
Employment Separation After Allegations
November 2024Customer Dispute
October 2006Settled
Customer Dispute
June 2006Settled
Employment History
Current Registrations
MML Investors Services, LLC
February 2025 - Present · 1 yr 8 mos
MML Investors Services, LLC
January 2025 - Present · 1 yr 9 mos
MML Investors Services, LLCBroker
January 2025 - Present · 1 yr 9 mos
Previous Registrations
Key Investment Services LLC
March 2021 - December 2024 · 3 yrs 9 mos
Key Investment Services LLCBroker
July 2012 - December 2024 · 12 yrs 5 mos
Key Investment Services LLC
July 2012 - July 2012 · 0 mos
Hsbc Securities (USA) INC.
March 2008 - July 2012 · 4 yrs 4 mos
Hsbc Securities (USA) INC.Broker
January 2005 - July 2012 · 7 yrs 6 mos
Hsbc Brokerage (USA) INC.Broker
November 1999 - January 2005 · 5 yrs 2 mos
Mony Securities CorporationBroker
September 1996 - November 1999 · 3 yrs 2 mos
Liberty Securities CorporationBroker
September 1996 - September 1996 · 0 mos
Community Securities, INC.Broker
July 1994 - September 1996 · 2 yrs 2 mos
Hartford Equity Sales Company INC.Broker
October 1993 - August 1994 · 10 mos
State Registrations17 states
ALAZCACTGAIAILMDNJNYOHPATNTXUTVAWA
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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