Daniel Capote
Daniel Capote is a registered investment advisor at MML Investors Services, LLC, based in Scottsdale, AZ, with 19 years of industry experience. Daniel 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
4900 North Scottsdale Road, Suite 4000, Scottsdale, AZ, 85251
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Daniel is an agent for individual and group life insurance, dedicating about 10-20% of his time. He also holds several volunteer positions, including board member roles and committee memberships for various non-profit and community organizations, requiring minimal time commitments.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Mutual of Omaha Investor Services, INC.Broker
Mutual of Omaha Investor Services, INC.
J.P. Morgan Securities LLCBroker
Chase Investment Services CORP.Broker
Allstate Financial Services, LLCBroker
Raymond James Financial Services, INC.Broker
First Union Securities, INC.Broker
Raymond James Financial Services, INC.Broker
Fsc Securities CorporationBroker
Corporate Securities Group, INC.Broker
Dmg Securities, INC.Broker
State Registrations15 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.