David Bax
David Bax is a registered investment advisor at LPL Financial LLC, based in Las Vegas, NV, with 42 years of industry experience. David 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
Las Vegas, NV
Get directionsHistory
Regulatory History (3)
Customer Dispute
July 2001Customer Dispute
December 1998Customer Dispute
October 1998Other Business ActivitiesSells Insurance
David operates Bax Investments as a DBA for his LPL business, dedicating about 10-20% of his time. He is also an insurance agent selling insurance and annuity products, which takes about a quarter of his time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
H. Beck, INC.Broker
Capwest Securities, INC.Broker
Pacco Capital Solutions, LLCBroker
Capital Growth ResourcesBroker
Aragon Financial Services, INC.Broker
Princor Financial Services CorporationBroker
Security First Financial, INC.Broker
State Registrations17 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.
Exams
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