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John Giffin

LPL Financial LLC
42 Years of Experience
Sonoma, CA
2 DisclosuresBroker
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John Giffin is a registered investment advisor at LPL Financial LLC, based in Sonoma, CA, with 42 years of industry experience. John 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

Sonoma, 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.
Judgment / Lien
June 2018
Customer Dispute
September 1996
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLCBroker
January 2007 - Present · 19 yrs 9 mos
LPL Financial LLC
January 2007 - Present · 19 yrs 9 mos
Previous Registrations
Bear, Stearns & CO. INC.
May 2001 - January 2007 · 5 yrs 8 mos
Bear, Stearns & CO. INC.Broker
April 2000 - January 2007 · 6 yrs 9 mos
First Union Securities, INC.Broker
April 1994 - May 2000 · 6 yrs 1 mo
Prudential Securities IncorporatedBroker
October 1986 - March 1994 · 7 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1984 - November 1986 · 2 yrs 7 mos
State Registrations7 states
AKCAFLGANYORWA
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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