| Advisor Profile |
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Disclosure Link:
www.lpl.com
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Business Description |
| LPL Financial is one of the nation's leading financial services companies and the largest independent Broker/Dealer for 12 years in a row. Headquartered in Boston, San Diego and Charlotte, LPL Financial and its affiliates offer industry-leading technology,training,service and unbiased reasearch to 11,675 financial advisors,790 financial institutions and over 4000 institutional clearing and technology subscribers. LPL Financial has $289 billion in assets under management as of May 31, 2008 |
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General Information |
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| Insurance License#: |
16468 - Ohio Home State
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| Name of Broker/Dealer: |
LPL Financial Corporation
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| Name of Custodial Firm: |
Private Trust Company (PTC)
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| States Licensed in: |
AL,CA,CO,FL,GA,IL,KY,LA,MD,MI,MS,NC,NJ,NV,NY,OH,OK,SC,VA,WI,
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| States Willing to do Business in: |
All
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| Years of Experience in Financial Services: |
23
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| Number of Years with Current Firm: |
1
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| Work Experience: |
I have 23 years of experience consultanting with Individuals,Businesses,Trusts and Non Profit Organizations in all aspects of financial consulting.
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| I work with the following types of clients: |
Individual Investors, Non-Profit Organizations, Investment Clubs, Businesses
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| Foreign Languages Serviced: |
access to : German, Spanish,French and Dutch Advisors
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Education |
| Academic Background |
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Attended St Xavier High School, Cincinnati, Ohio (1979)
Attended Xavier University , Cincinnati, Ohio (1984) |
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Services |
| Investment Types: |
Long Term Care and DI, Options & Futures, Bonds, Exchange Traded Funds (ETFs), Mortgages & Real Estate, Alternative Investments, Mutual Funds, Insurance, Annuities, Stocks, Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Certified Fund Specialist (CFS)
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| Securities Licenses: |
Series 7, Series 24, Series 26, Series 63, Series 65, Series 66, Series 6, Series 73
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| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Variable Life, Disability, Accident, Annuity, Health, HMO, Life
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| Financial Organization Memberships: |
Financial Planning Association (FPA)
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| Firm's Number of Clients: |
3 million
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| Firm's Number of Planning Clients: |
1 million
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| Firm's Number of Managed Clients: |
1 million
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| Assets Managed by Firm: |
$289 Billion
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| Advisor's Number of Clients: |
800
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| Advisor's Number of Managed Clients: |
250
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| Advisor's Number of Planning Clients: |
250
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| Assets Managed by Advisor: |
$50 Million
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Minimum Portfolio Size for New Managed Accounts: |
$50,000
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| Compensation Methods: |
Hourly, Flat Fee, Commissions, Based on Assets
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| Fee % Based on Assets: |
1% avg.
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| Additional Details on Charges: |
During the intial consultation I will determine if planning is appropiate and what work will need to be completed and what the cost will be. Client will sign an agreement with LPL Financial at that time to the agreed costs. Everything will be in writing to the client.
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| Minimum Fee Charged for Managed Accounts: |
varies
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| Minimum Fee Charged for Hourly Planning Accounts: |
varies
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| Minimum Fee Charged for Flat Fee Accounts: |
$250
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| Prepared By: |
Gary Mathews |
Frequently Asked Questions |
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