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Louis Knox

LPL Financial LLC
44 Years of Experience
Darien, IL
1 DisclosureBrokerSells Insurance
View SEC Summary
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Louis Knox is a registered investment advisor at LPL Financial LLC, based in Darien, IL, with 44 years of industry experience. Louis 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

8172 S Cass Ave, Darien, IL, 60561

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History

Regulatory History (1)
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Criminal
April 1975
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Louis has a DBA called Focus Retirement Plan Partners since 2010. He also sells non-variable insurance products, including life, health, disability, LTC, and fixed annuity products, dedicating about a quarter of his time to this activity. Finally, Louis has a DBA called Anam Cara Wealth Management for his LPL business, dedicating nearly full-time hours to it.

Employment History
Current Registrations
LPL Financial LLC
September 2009 - Present · 17 yrs 1 mo
LPL Financial LLCBroker
September 2009 - Present · 17 yrs 1 mo
Previous Registrations
Associated Securities CORP.
September 2004 - September 2009 · 5 yrs
Associated Planners Investment Advisory INC
May 2004 - October 2009 · 5 yrs 5 mos
Associated Securities CORP.Broker
May 2004 - September 2009 · 5 yrs 4 mos
Signator Investors, INC.
May 2000 - May 2004 · 4 yrs
Signator Investors, INC.Broker
April 2000 - May 2004 · 4 yrs 1 mo
Pruco Securities CorporationBroker
April 1994 - April 2000 · 6 yrs
Washington Square Securities, INC.Broker
August 1993 - April 2000 · 6 yrs 8 mos
Green Hill Financial Service CorporationBroker
July 1982 - July 1993 · 11 yrs
State Registrations19 states
ARAZCACOCTFLGAILINMAMINCNVNYOHOKSCTXVA
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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