Kelly Larocque, financial advisor Newport Beach CA
89 score

Kelly Larocque

CRD Number: 5981523
Current Firm: Mml Investors Services, LLC

Kelly Larocque (CRD# 5981523) is an Investment Advisor Representative working at Mml Investors Services, LLC in Newport Beach, CA and has over 2 years of experience in the finance industry.

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Company Name Location Dates Years
Massmutual Life Insurance Company Newport Beach, CA Nov 2013 - Current 3
Mml Investors Services LLC Newport Beach, CA Nov 2013 - Current 3
Northwestern Mutual Investment Services, LLC Newport Beach, CA Aug 2013 - Oct 2013 < 1
Ira Hermann Newport Beach, CA Jul 2013 - Oct 2013 < 1
Northwestern Mutual Life Insurance Company Milwaukee, WI Jun 2012 - Jul 2013 1
Ucsb Santa Barbara, CA Sep 2010 - Jun 2013 2
Ameriprise Financial Santa Barbara, CA Sep 2011 - May 2012 < 1
Ucsb- Portola Dining Commons Goleta, CA Dec 2010 - Sep 2011 < 1
Unemployed Goleta, CA Jun 2010 - Jan 2011 < 1
The Tutoring Center Laguna Hills, CA Nov 2009 - Jun 2010 < 1
Capistrano Valley High Mission Viejo, CA Jun 2006 - Jun 2010 4
The Original Pancake House Laguna Hills, CA Jun 2009 - May 2010 < 1
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2014
Contact Info for Kelly L. Larocque
Phone Number: (413)737-8400
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    666
    MILLIONS
  • Total Number of Accounts
    3,874
    ACCOUNTS
  • Average Account Value
    $171,955
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, PR, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
89
Clean Record
This advisor has a clean track record with regulators.

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