Douglas Waisner
Douglas Waisner is a registered investment advisor at LPL Financial LLC, based in Westlake Village, CA, with 42 years of industry experience. Douglas 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
2555 Townsgate Rd Ste 300, Westlake Village, CA, 91361
Get directionsHistory
Regulatory History (6)
Customer Dispute
December 2023Customer Dispute
July 2011Employment Separation After Allegations
May 2008Customer Dispute
September 1994Customer Dispute
September 1994Criminal
May 1976Other Business ActivitiesSells Insurance
Douglas is the Chief Executive Officer of Westlake Financial Group Inc. Douglas is also an agent for accident & health, life, and variable insurance.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Western International Securities, INC.Broker
Western International Securities
Financial West Group
Financial West GroupBroker
Oppenheimer & CO., INC.Broker
Shearson Lehman Hutton INC.Broker
State Registrations49 states
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
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