Charles Noriega
Charles Noriega is a registered investment advisor at MML Investors Services, LLC, based in Walnut Creek, CA, with 9 years of industry experience. Charles 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
1676 N California Blvd, Ste 430, Walnut Creek, CA, 94596
Get directionsHistory
Regulatory History (1)
Judgment / Lien
December 2024Other Business ActivitiesSells Insurance
Charles is an insurance agent since 2015, selling life, accident, and health insurance. This activity takes nearly full-time hours.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Mutual of Omaha Investor Services, INC.
Mutual of Omaha Investor Services, INC.Broker
State Registrations2 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.