ANDREW CHARLES BERLETH

ANDREW CHARLES BERLETH is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 3003 Oak Road, Ste 250, WALNUT CREEK, CA, 94597.

ANDREW CHARLES BERLETH has worked at MML INVESTORS SERVICES, LLC since November 17, 2003

Disclosure History

ANDREW CHARLES BERLETH has 3 Disclosure Event(s).

Date: May 07, 2018
Category: Customer Dispute
Allegations: The complainant alleges that her signature was forged on a variable annuity that she purchased in 2015, and information about the annuity was misrepresented. She would like her investment returned.
Broker Comment: Internal case #201831889.

Date: July 10, 2012
Category: Customer Dispute
Allegations: CUSTOMER ALLEGED THE REPRESENTATIVE MISREPRESENTED THE FEATURES OF THE VARIABLE LIFE INSURANCE POLICY PURCHASED IN MARCH 1997. NO SPECIFIC COMPENSATORY DAMAGES WERE ALLEGED.

Date: July 17, 2007
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE WAITING PERIOD AND THE SURRENDER CHARGES WERE NOT DISCLOSED TOHIM AT THE TIME HE PURCHASED A VARIABLE ANNUITY IN APRIL 2001
Damage Amount Requested: $23,538.63

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for ANDREW CHARLES BERLETH, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.