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Rachael Roth
10 Years of Experience
Littleton, CO
1 DisclosureBroker
Rachael Roth is a registered investment advisor at MML Investors Services, LLC, based in Littleton, CO, with 10 years of industry experience. Rachael is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 454,836 clients with $120B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5086 advisors
IM Fee
Planning only
Assets Under Management
$115.6B
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
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Location
Littleton, CO
Get directionsHistory
Regulatory History (1)
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Criminal
April 2011Final Disposition
Employment History
Current Registrations
MML Investors Services, LLC
September 2022 - Present · 4 yrs 1 mo
MML Investors Services, LLC
August 2022 - Present · 4 yrs 2 mos
MML Investors Services, LLCBroker
August 2022 - Present · 4 yrs 2 mos
Previous Registrations
Pruco Securities, LLC.Broker
November 2021 - August 2022 · 9 mos
MML Investors Services, LLC
March 2019 - October 2021 · 2 yrs 7 mos
MML Investors Services, LLCBroker
February 2019 - October 2021 · 2 yrs 8 mos
Morgan StanleyBroker
January 2019 - February 2019 · 1 mo
Kovack Securities INC.Broker
February 2016 - December 2018 · 2 yrs 10 mos
Noble Financial Capital MarketsBroker
July 2015 - October 2015 · 3 mos
State Registrations1 state
CO
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.
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