Warren Cates
Warren Cates is a registered investment advisor at MML Investors Services, LLC, based in Knoxville, TN, with 9 years of industry experience. Warren 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
9729 Cogdill Road, Suite 101, Knoxville, TN, 37932
Get directionsHistory
Regulatory History (2)
Customer Dispute
July 2022Criminal
March 2013Other Business ActivitiesSells Insurance
Warren is an independent insurance agent selling various insurance products, including dental, disability, life, health, long-term care, Medicare-related products, and property & casualty insurance since 2017. Warren is also a partner in Colt Investments since 2022, earning rental income and dedicating minimal time to managing the property.
Employment History
Current Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
Previous Registrations
Msi Financial Services, INC.
Msi Financial Services, INC.Broker
State Registrations31 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.