Kelly Waring is a CFP-designated registered investment advisor at LPL Financial LLC, based in Prescott, AZ, with 42 years of industry experience. Kelly 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
183 Morning Glow Way, Prescott, AZ, 86303-6707
Get directionsHistory
Regulatory History (2)
Customer Dispute
November 2021Customer Dispute
July 2009Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
W & H and Associates, LLC
Jones International Securities, LTD.Broker
Private Ledger Financial Services, IncorporatedBroker
State Registrations12 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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