James Brocke
James Brocke is a CFP-designated registered investment advisor at MML Investors Services, LLC, based in Indianapolis, IN, with 58 years of industry experience. James 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
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
8888 Keystone Crossing, Suite 1600, Indianapolis, IN, 46240
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Regulatory History (1)
Customer Dispute
July 2020Other Business ActivitiesSells Insurance
James works as a life and health insurance agent since 1995, dedicating minimal time to this activity. This is investment-related.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
James C. Brocke CFP, LLC
Mass Financial Group of Indiana
Titan Capital CorporationBroker
Wzw Financial Services, INC.Broker
Universal Heritage Investments CorporationBroker
Eti Investment CorporationBroker
Financial Service Corporation of AmericaBroker
Fundamental Service CorporationBroker
F I Dupont Glore Forgan & COBroker
State Registrations6 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.
Exams
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