Jay Mathis is a registered investment advisor at LPL Financial LLC, based in Alto, NM, with 43 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
Alto, NM
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Regulatory History (1)
Customer Dispute
June 2002Other Business Activities
Jay works as a laborer at El Sueno Bed and Breakfast, LLC, dedicating minimal time to this non-investment related activity. He provides labor services.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Momentum Independent Network INC.
Momentum Independent Network INC.Broker
LPL Financial LLC
LPL Financial LLCBroker
First Southwest CompanyBroker
Raymond James & Associates, INC.Broker
Raymond James & Associates, INC.
Tejas Securities Group, INC.Broker
First Union Securities, INC.Broker
Rauscher Pierce Refsnes, INC.Broker
Kemper Securities Group, INC.Broker
Lovett Underwood Neuhaus & Webb, INC.Broker
Westcap Government Securities, INC.Broker
Westcap Securities, INC.Broker
Donald Sheldon & CO., INC.Broker
State Registrations7 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.