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Nicola Ottavio Caporaso

MML Investors Services, LLC

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About Nicola Ottavio Caporaso

Nicola Caporaso is an investment advisor representative with MML Investors Services, LLC in the Syosset office. Nicola has over 15 years of experience in the financial industry. Nicola also has experience in the insurance industry. Nicola has licenses to sell securities in California, Florida, New Jersey, and New York.

Firm Information

Nicola Caporaso is currently registered with MML Investors Services, LLC. MML Investors Services, LLC is a Limited Liability Company headquartered in Springfield, MA, formed in January 2011. The firm is registered with the SEC and in 53 states. They provide a range of advisory services including financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses and individuals, and asset allocation programs. MML Investors Services, LLC manages over $72 billion in assets for individuals, high-net-worth individuals, corporations, trusts, foundations, charitable organizations, pension plans, and insurance companies.
MML Investors Services, LLC

1295 STATE STREET

SPRINGFIELD, MA 01111-0001

$72.83B

Assets Under Management

Not reported

Total Clients

6,192

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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asset allocation programs

Asset allocation programs

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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other

Solicitors fees

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Nicola Caporaso’s Registration & Firm History

NY

05/27/2021 - Present

MML Investors Services, LLC (SYOSSET NY)

NY

10/23/2018 - 09/03/2019

EQUITY SERVICES, INC. (HAUPPAUGE NY)

NY

04/14/2011 - 04/19/2017

MML INVESTORS SERVICES, LLC (MELVILLE NY)

NY

01/26/2007 - 09/07/2010

PARK AVENUE SECURITIES LLC (REGO PARK NY)

NY

06/24/2005 - 10/31/2006

NYLIFE SECURITIES INC. (MELVILLE NY)

NY

04/28/2004 - 05/05/2005

EHRENKRANTZ KING NUSSBAUM, INC. (MELVILLE NY)

NY

12/09/2003 - 02/20/2004

FIRST HUDSON FINANCIAL GROUP, INC. (NEW YORK NY)

NY

07/01/2003 - 09/29/2003

BENSON YORK GROUP, INC. (MELVILLE NY)

NY

01/24/2003 - 06/26/2003

HARRISON SECURITIES, INC. (PORT WASHINGTON NY)

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Licenses & Designations

BC

Issued 01/31/2003

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/19/2017

SIE - Securities Industry Essentials Examination

BC

Issued 01/23/2003

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 5 public disclosures for Nicola Ottavio Caporaso. Review regulatory record here.
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