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 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
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.