TrueAdvisor
TrueAdvisor
GT
GT

Guy Thompson

LPL Financial LLC
42 Years of Experience
Grapevine, TX
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Guy Thompson is a registered investment advisor at LPL Financial LLC, based in Grapevine, TX, with 42 years of industry experience. Guy 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Grapevine, TX

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 1992
Settled
Customer Dispute
January 1989
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLCBroker
July 2021 - Present · 5 yrs 3 mos
LPL Financial LLC
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Waddell & ReedBroker
November 2020 - July 2021 · 8 mos
Waddell & Reed
November 2020 - July 2021 · 8 mos
RBC Capital Markets, LLCBroker
March 1998 - November 2020 · 22 yrs 8 mos
RBC Capital Markets, LLC
January 1998 - November 2020 · 22 yrs 10 mos
Dain Rauscher IncorporatedBroker
January 1998 - March 1998 · 2 mos
Rauscher Pierce Refsnes, INC.Broker
July 1994 - January 1998 · 3 yrs 6 mos
Dean Witter Reynolds INC.Broker
October 1983 - June 1994 · 10 yrs 8 mos
State Registrations3 states
ARCATX
AdvisorBrokerBoth

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
No exam information available for this advisor.
More Advisors
More financial advisors in Grapevine, TX →All financial advisors in Texas →