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KM
CFP
KM
CFP

Kathryn Maffei

LPL Financial LLC
42 Years of Experience
Lexington, MA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Kathryn Maffei is a CFP-designated registered investment advisor at LPL Financial LLC, based in Lexington, MA, with 42 years of industry experience. Kathryn 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
—
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Location

1666 Massachusetts Ave Ste 2, Lexington, MA, 02420

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Kathryn is the president of KLM Financial, Inc., a non-variable insurance DBA, dedicating about 10-20% of her time to this role. She also acts as a successor trustee for her father's real estate trust, spending a few hours per week on this activity.

Employment History
Current Registrations
LPL Financial LLC
April 1996 - Present · 30 yrs 6 mos
LPL Financial LLC
December 1989 - Present · 36 yrs 10 mos
LPL Financial LLCBroker
December 1989 - Present · 36 yrs 10 mos
Previous Registrations
Linsco Financial Group, INC.Broker
August 1986 - December 1989 · 3 yrs 4 mos
Hanover Concepts, INC.Broker
July 1986 - August 1986 · 1 mo
Cardell & Associates, IncorporatedBroker
July 1984 - July 1986 · 2 yrs
MBA Equity Investment CorporationBroker
October 1983 - July 1984 · 9 mos
State Registrations14 states
AZCACOFLMAMDMENHNYOKORPARIVT
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.
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