Kathryn Carter
Kathryn Carter is a CFP-designated registered investment advisor at LPL Financial LLC, based in Los Angeles, CA, with 41 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
3699 Wilshire Blvd Ste 635, Los Angeles, CA, 90010-2743
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Kathryn is associated with ISE Group, involved in property and casualty insurance since 1985, dedicating nearly full-time hours. She also sells personal and commercial insurance through Kathryn Carter dba ISE Group, starting in 2020, which takes significantly more than full-time hours.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
American General Securities Incorporated
American General Securities IncorporatedBroker
Lowry Financial Services CorporationBroker
State Registrations5 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.