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Gerard Betts

LPL Financial LLC
41 Years of Experience
Garden City, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
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Gerard Betts is a registered investment advisor at LPL Financial LLC, based in Garden City, NY, with 41 years of industry experience. Gerard 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

1042 Franklin Ave Ste 117, Garden City, NY, 11530

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History

Regulatory History (1)
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.
Employment Separation After Allegations
July 2012
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Gerard is an agent for life and health insurance. He also serves as a trustee for Knecht Trusts.

Employment History
Current Registrations
LPL Financial LLCBroker
June 2025 - Present · 1 yr 4 mos
LPL Financial LLC
June 2025 - Present · 1 yr 4 mos
Previous Registrations
Western International Securities, INC.Broker
November 2018 - June 2025 · 6 yrs 7 mos
Western International Securities
November 2018 - June 2025 · 6 yrs 7 mos
Northeast Securities, LLCBroker
August 2012 - December 2018 · 6 yrs 4 mos
Northeast Asset Management LLC
August 2012 - December 2018 · 6 yrs 4 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
April 2011 - July 2012 · 1 yr 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2006 - July 2012 · 5 yrs 9 mos
JonestradingBroker
January 2006 - September 2006 · 8 mos
Bear, Stearns & CO. INC.Broker
August 1992 - December 2005 · 13 yrs 4 mos
Execution Services IncorporatedBroker
May 1991 - February 1993 · 1 yr 9 mos
Dunlevy & CO., IncorporatedBroker
February 1991 - July 1991 · 5 mos
Mabon, Nugent & CO.Broker
August 1989 - August 1990 · 1 yr
Morgan Stanley & CO., IncorporatedBroker
April 1984 - August 1989 · 5 yrs 4 mos
State Registrations9 states
CACOFLGANCNJNYPATX
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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