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Anne Perry

LPL Financial LLC
34 Years of Experience
Greenwood Village, CO
2 DisclosuresBroker
View SEC Summary
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Anne Perry is a registered investment advisor at LPL Financial LLC, based in Greenwood Village, CO, with 34 years of industry experience. Anne 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

5299 Dtc Blvd, Ste 1170, Greenwood Village, CO, 80111

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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
January 2009
Settled
Customer Dispute
September 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Anne owns rental real estate, dedicating minimal time to it. She also operates Perry Wealth Management LLC as a DBA for her LPL business, spending about 10-20% of her time on this.

Employment History
Current Registrations
LPL Financial LLC
March 2022 - Present · 4 yrs 7 mos
LPL Financial LLCBroker
March 2022 - Present · 4 yrs 7 mos
Previous Registrations
First Financial Equity CorporationBroker
December 2014 - April 2022 · 7 yrs 4 mos
First Financial Equity Corporation
December 2014 - April 2022 · 7 yrs 4 mos
Wells Fargo Advisors, LLCBroker
January 2011 - December 2014 · 3 yrs 11 mos
Wells Fargo Advisors, LLC
January 2011 - December 2014 · 3 yrs 11 mos
Wells Fargo Investments, LLC
November 2006 - January 2011 · 4 yrs 2 mos
Wells Fargo Investments, LLCBroker
November 2006 - January 2011 · 4 yrs 2 mos
Linsco/private Ledger CORP.
June 2005 - January 2006 · 7 mos
Linsco/private Ledger CORP.Broker
June 2005 - January 2006 · 7 mos
Banc One Securities Corporation
February 2001 - May 2005 · 4 yrs 3 mos
Banc One Securities CorporationBroker
November 2000 - May 2005 · 4 yrs 6 mos
Harvestons Securities, INC.Broker
May 1994 - December 1998 · 4 yrs 7 mos
Colorado National Brokerage, INC.Broker
September 1989 - November 1991 · 2 yrs 2 mos
E. F. Hutton & Company INCBroker
June 1985 - August 1987 · 2 yrs 2 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
December 1984 - June 1985 · 6 mos
State Registrations8 states
CACOINMENJORSCTX
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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