Cathy Mu is a registered investment advisor at MML Investors Services, LLC, based in Pleasanton, CA, with 26 years of industry experience. Cathy 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
6701 Koll Center Parkway, Ste 140, Pleasanton, CA, 94566
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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.
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Cathy owns various rental properties since 2009 and is also the owner of a CPA business doing tax preparation since 1998, dedicating a few hours per week to it. Additionally, Cathy is a board member/CEO/executive director of The Thriving Foundation, an educational public charity, taking about half of her time, and a managing officer of PB Infusion, LLC, a retail sales business, dedicating minimal time to it.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
MML Investors Services, LLC
Previous Registrations
MML Investors Services, LLC
H.D. Vest Advisory Services, INC
H.D. Vest Investment ServicesBroker
State Registrations5 states
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