Alan Berman
Alan Berman is a CFP-designated registered investment advisor at LPL Financial LLC, based in Santa Rosa, CA, 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
Santa Rosa, CA
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Regulatory History (1)
Criminal
October 1979Other Business ActivitiesSells Insurance
Alan is involved with non-variable insurance through Alan Berman Insurance & Financial Services, dedicating nearly full-time to it. He also spends about half his time on tax preparation/accounting and DBA activities related to his LPL business, and minimal time on a non-investment related activity called Signed Baseball Magic.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
American General Securities Incorporated
American General Securities IncorporatedBroker
Zahorik Company, INC.Broker
American General Securities IncorporatedBroker
Uslife Equity Sales CORP.Broker
First Affiliated SecuritiesBroker
Pfg Securities, INC.Broker
Integrated Resources Equity CorporationBroker
Financial Planners Equity CorporationBroker
Washington National Equity CompanyBroker
State Registrations5 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.