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ChFC
JM
ChFC

Jay Mitzner

LPL Financial LLC
39 Years of Experience
North Wales, PA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Jay Mitzner is a ChFC-designated registered investment advisor at LPL Financial LLC, based in North Wales, PA, with 39 years of industry experience. Jay 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
28129 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
—
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Location

North Wales, PA

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

Jay operates Jay Mitzner Financial Services as a DBA for his LPL business, dedicating nearly full-time hours to it. He is also a non-variable insurance agent since 1973, spending a few hours per week on this activity.

Employment History
Current Registrations
LPL Financial LLC
May 2025 - Present · 1 yr 5 mos
LPL Financial LLCBroker
May 2025 - Present · 1 yr 5 mos
Previous Registrations
Grove Point Advisors, LLC
April 2021 - May 2025 · 4 yrs 1 mo
H. Beck, INC.
October 2008 - April 2021 · 12 yrs 6 mos
Grove Point Investments, LLCBroker
February 2007 - May 2025 · 18 yrs 3 mos
Princor Financial Services CorporationBroker
September 2000 - February 2007 · 6 yrs 5 mos
Manequity, INC.Broker
March 1994 - August 2000 · 6 yrs 5 mos
Focus II Securities, INC.Broker
October 1989 - March 1990 · 5 mos
Cadaret, Grant & CO., INC.Broker
November 1988 - October 1989 · 11 mos
Focus Securities, INC.Broker
April 1985 - November 1988 · 3 yrs 7 mos
Guardian Investor Services CorporationBroker
August 1984 - February 1987 · 2 yrs 6 mos
MML Investors Services, INC.Broker
March 1983 - October 1983 · 7 mos
Massachusetts Mutual Life Insurance CompanyBroker
March 1982 - October 1983 · 1 yr 7 mos
State Registrations5 states
FLMDNYPAVA
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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