Erica Pu
Erica Pu is a registered investment advisor at MML Investors Services, LLC, based in San Gabriel, CA, with 17 years of industry experience. Erica 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
San Gabriel, CA
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Erica works as an insurance broker selling life, disability, long-term care, fixed annuities, and health insurance products, dedicating minimal time to this activity. Erica is also the owner of CNP Wealth Management Financial and Insurance Services, a 1099 tax shelter, spending minimal time on this as well.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
MML Investors Services, LLC
Previous Registrations
Sovran Advisors, LLC
Cetera Advisor Networks LLCBroker
MML Investors Services, LLCBroker
MML Investors Services, LLC
Msi Financial Services, INC.
Msi Financial Services, INC.Broker
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
World Group Securities, INC.Broker
State Registrations1 state
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.