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David Casparian

LPL Financial LLC
44 Years of Experience
Fresno, CA
2 DisclosuresBroker
View SEC Summary
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David Casparian is a registered investment advisor at LPL Financial LLC, based in Fresno, CA, with 44 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

465 E. Fir Ave Suite 105, Fresno, CA, 93720-2975

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2023
Denied
Customer Dispute
September 2006
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

David is a co-owner of a rental property since 1980. This investment-related activity requires minimal time.

Employment History
Current Registrations
LPL Financial LLCBroker
January 2023 - Present · 3 yrs 9 mos
LPL Financial LLC
January 2023 - Present · 3 yrs 9 mos
Previous Registrations
Cetera Advisor Networks LLC
February 2006 - February 2023 · 17 yrs
Financial Network Investment Corporation
September 2003 - December 2005 · 2 yrs 3 mos
Cetera Advisor Networks LLCBroker
June 2001 - February 2023 · 21 yrs 8 mos
Arm Securities CorporationBroker
October 1998 - June 2001 · 2 yrs 8 mos
Waterhouse Securities, INC.Broker
November 1997 - October 1998 · 11 mos
Kennedy, Cabot & CO.Broker
October 1991 - November 1997 · 6 yrs 1 mo
Spear Insurance Services, INC.Broker
October 1987 - October 1991 · 4 yrs
Jmc Investment Services, INC.Broker
August 1986 - October 1991 · 5 yrs 2 mos
Spear Insurance Services, INC.Broker
August 1983 - October 1991 · 8 yrs 2 mos
State Bond Sales CorporationBroker
October 1981 - June 1983 · 1 yr 8 mos
State Registrations16 states
AZCAGAIAIDINMNNCNVNYORPASCTXVAWA
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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