Harry Carroll
Harry Carroll is a registered investment advisor at MML Investors Services, LLC, based in Marlton, NJ, with 30 years of industry experience. Harry 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
10 Lake Center Executive Park, 401 Route 73 North, Suite 201, Marlton, NJ, 08053
Get directionsHistory
Regulatory History (5)
Customer Dispute
July 2020Customer Dispute
March 2017Customer Dispute
April 2011Customer Dispute
November 2005Customer Dispute
May 2004Other Business ActivitiesSells Insurance
Harry is an individual life insurance agent since 2012, dedicating minimal time to this activity. He is also the head coach for rowing at Moorestown High School, spending about a quarter of his time in this role, and a member of Cadence Financial Management, LLC, spending a few hours per week.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Msi Financial Services, INC.
Msi Financial Services, INC.Broker
Newsquare Capital, LLC
New England Securities Corporation
New England SecuritiesBroker
Janney Montgomery Scott LLCBroker
State Registrations19 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.