David Capozzi
David Capozzi is a registered investment advisor at MML Investors Services, LLC, based in Brentwood, TN, with 21 years of industry experience. David 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
8115 Isabella Lane, Suite 5, Brentwood, TN, 37027
Get directionsHistory
Regulatory History (2)
Customer Dispute
March 2018Customer Dispute
March 2018Other Business ActivitiesSells Insurance
David is an enrolled agent providing CPA/tax preparation services, a notary public for the state of Tennessee, and receives post-employment trail commissions from fixed life insurance. These activities require minimal time commitment.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Allstate Financial Advisors, LLC
Allstate Financial Services, LLCBroker
Wilbanks Securities, INC.Broker
State Registrations16 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.