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Saint Petersburg, FL 33731
727-371-5872
About LPL Financial
To help clients align their financial decisions with their deepest personal values. Instead of a one-size-fits-all strategy, they focus on "investing in what matters most," ensuring that every financial choice supports a more satisfying and joyful life.
See Disclosures
General Information
Firm Start Year
2017
No. of Employees
1
CRD#
6622841
Firm CRD#
6413
Name of Broker/Dealer
LPL FINANCIAL LLC
Name of Custodial Firm
LPL FINANCIAL LLC
States Licensed in
FL
Years of Experience in Financial Services
8
Number of Years with Current Firm
8
Work with the following types of clients
Non-Profit Organizations, Businesses, Individual Investors
Advisory Services Provided
Financial Advice & Consulting, Investment Advice & Management, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Money Management, Risk Management, Financial Planning for Individuals, Financial Planning for Businesses, Education Funding and Planning
Services
Investment Types
Mutual Funds, Options & Futures, Bonds, Stocks, Annuities, Commodities, Exchange Traded Funds (ETFs)
Can meet clients in the following ways
Your Office, Email, Phone, Video Conference
Compliance
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Securities Licenses
Series 6, Series 63, Series 65
Firm Information
Firm's Number of Clients
125
Firm's Number of Planning Clients
75
Firm's Number of Managed Clients
125
Assets Managed by Firm
22,000,000
Advisor's Number of Clients
125
Advisor's Number of Managed Clients
125
Advisor's Number of Planning Clients
75
Total Assets Under Management by Advisor
$22,000,000
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$100K+
Compensation Methods
Based on Assets, Flat Fee, Hourly
Fee % Based on Assets
1%
Hourly Rate
$175
Additional Details on Charges
I strive to provide a transparent pricing model that is tailored to each clients unique situation. Both fee-based and fee-only available.
Minimum Fee Charged for Managed Accounts
$1,000
Minimum Fee Charged for Hourly Planning Accounts
$1,000
Education
Personal Financial Planning -
UT Valley University
01/2014 -01/2017
Disclosures
RetirementPlanning.net provides referrals to financial professionals of LPL Financial, LLC (LPL). RetirementPlanning.net is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay RetirementPlanning.net cash compensation for these referrals, which creates the incentive for RetirementPlanning.net to make these referrals, resulting in a conflict of interest.
LPL ADV 2A
https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf
Additional Detailed Disclosures
https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf