Michael Mock
Michael Mock is a registered investment advisor at MML Investors Services, LLC, based in Chicago, IL, with 18 years of industry experience. Michael 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
30 S Wacker Drive, Suite 2700, Chicago, IL, 60606
Get directionsHistory
Regulatory History (1)
Employment Separation After Allegations
December 2016Other Business ActivitiesSells Insurance
Michael is involved with a non-MMLIA insurance brokerage as a salesperson since 2009, focusing on health insurance. This takes a few hours per week, with minimal time spent during securities trading hours.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
MML Investors Services, LLCBroker
Msi Financial Services, INC.Broker
Lincoln Financial Advisors Corporation
Lincoln Financial Advisors CorporationBroker
Nylife Securities INC.Broker
State Registrations12 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.