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Victor Koby

LPL Financial LLC
42 Years of Experience
Carlsbad, CA
2 DisclosuresBroker
View SEC Summary
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Victor Koby is a registered investment advisor at LPL Financial LLC, based in Carlsbad, CA, with 42 years of industry experience. Victor 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

Carlsbad, CA

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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
July 2009
Award / Judgment
Customer Dispute
April 2007
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLCBroker
August 2019 - Present · 7 yrs 2 mos
LPL Financial LLC
August 2019 - Present · 7 yrs 2 mos
Previous Registrations
Ameriprise Financial Services, INC.Broker
October 2009 - September 2019 · 9 yrs 11 mos
Ameriprise Financial Services, INC.
October 2009 - September 2019 · 9 yrs 11 mos
Ameriprise Advisor Services, INC.
December 2007 - October 2009 · 1 yr 10 mos
Ameriprise Advisor Services, INC.Broker
December 2007 - October 2009 · 1 yr 10 mos
Wachovia Securities, LLC
May 2003 - December 2007 · 4 yrs 7 mos
Wachovia Securities, LLCBroker
June 2000 - December 2007 · 7 yrs 6 mos
A. G. Edwards & Sons, INC.Broker
March 1991 - June 2000 · 9 yrs 3 mos
Dean Witter Reynolds INC.Broker
March 1988 - March 1991 · 3 yrs
Drexel Burnham Lambert IncorporatedBroker
January 1985 - May 1988 · 3 yrs 4 mos
Bateman Eichler, Hill Richards, IncorporatedBroker
February 1984 - January 1985 · 11 mos
State Registrations8 states
CAFLMDMONYTXVAWA
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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