Carmen Cercone is a registered investment advisor at LPL Financial LLC, based in Scottsdale, AZ, with 42 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
11333 N Scottsdale Rd Ste 295, Scottsdale, AZ, 85254
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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.
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Carmen is associated with several entities including Watermark Wealth Strategies LLC, Watermark Wealth Planning LLC, Watermark PAC SCorp, Watermark Norte LLC, and Watermark Legacy Planning LLC. These entities are related to her LPL business, estate planning services, and tax/investment purposes.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Kestra Advisory Services, LLC
Kestra Investment Services, LLCBroker
Sii Investments, INC.
Sii Investments, INC.Broker
Sagepoint Financial, INC.
Householder Group, Estate & Retirement Specialists
Sagepoint Financial, INC.Broker
Sunamerica Securities, INC.Broker
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
State Registrations35 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.