William Spencer is a registered investment advisor at LPL Financial LLC, based in Hauppauge, NY, with 39 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
100 Motor Parkway, Hauppauge, NY, 11788
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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William works at Wilmington Trust as of July 2022, dedicating nearly full-time hours to this role. He also works at M & T Financial Services as of January 2023, which is an entity for his LPL business.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
People's United Advisors, INC.
People's Securities, INC.Broker
People's Securities, INC.
Capital One Advisors, LLC
Capital One Investing, LLCBroker
First Republic Investment Management, INC.
First Republic Securities Company, LLCBroker
J.P. Morgan Securities LLCBroker
J.P. Morgan Securities LLC
Capital One Investment Services LLCBroker
Greenpoint Securities LLCBroker
Essex National Securities, INC.
Essex National Securities, INC.Broker
Rafferty Capital Markets, LLCBroker
Concord Brokerage Services, INC.Broker
Bisys Brokerage Services, INC.Broker
Charles Schwab & CO., INC.Broker
Dollar Dry Dock Investment Services, INC.Broker
Murphey Favre, INC.Broker
Thomson Mckinnon Securities INC.Broker
Fahnestock & CO.Broker
State Registrations1 state
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.