Shelly Williams is a CFP-designated registered investment advisor at LPL Financial LLC, based in Rolling Hills, CA, with 26 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Rolling Hills, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Shelly operates Triad Global Asset Management as a DBA for her LPL business since 2006. This investment-related activity takes about a quarter of her time overall, with about 10% of her time dedicated during trading hours.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Grove Point Advisors, LLC
H. Beck, INC.
Grove Point Investments, LLCBroker
Cantella & CO., INC.
Cantella & CO., INC.Broker
Commonwealth Financial NetworkBroker
Metropolitan Life Insurance CompanyBroker
Metlife Securities INC.Broker
Usallianz Securities, INC.Broker
Dunham and Associates Investment Counsel, INC.Broker
Aspen Investment Alliance, INC.Broker
Marketing One Securities, INC.Broker
Fimco Securities Group, INC.Broker
Great Western Financial Securities CorporationBroker
Pamco Securities and Insurance ServicesBroker
Integrated Resources Equity CorporationBroker
State Registrations7 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.