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Rachael Roth

MML Investors Services, LLC

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About Rachael Roth

Rachael Roth is an investment advisor representative with MML Investors Services, LLC. She is currently registered in Wisconsin. Rachael has been in the financial services industry since 2015. Rachael has a diverse background, having worked for several financial institutions, including Morgan Stanley, Kovack Securities Inc., Noble Financial Capital Markets, Pruco Securities, LLC., and MassMutual Life Insurance Company. Rachael has earned her Series 7, Series 24, Series 52, Series 53, and Series 66 securities licenses.

Firm Information

Rachael Roth 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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Rachael Roth’s Registration & Firm History

MA

09/05/2024 - Present

MML Investors Services, LLC (SPRINGFIELD MA)

CO

11/19/2021 - 08/10/2022

PRUCO SECURITIES, LLC. (ENGLEWOOD CO)

FL

02/19/2019 - 10/26/2021

MML INVESTORS SERVICES, LLC (FT LAUDERDALE FL)

FL

01/08/2019 - 02/19/2019

MORGAN STANLEY (BOCA RATON FL)

FL

02/01/2016 - 12/24/2018

KOVACK SECURITIES INC. (FT. LAUDERDALE FL)

FL

07/10/2015 - 10/28/2015

NOBLE FINANCIAL CAPITAL MARKETS (BOCA RATON FL)

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Licenses & Designations

BOTH

Issued 08/29/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/02/2017

Series 53 - Municipal Securities Principal Examination

BC

Issued 09/27/2016

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/07/2017

Series 52 - Municipal Securities Representative Examination

BC

Issued 07/10/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Rachael Roth. Review regulatory record here.
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