Kerry Moy
Kerry Moy is a registered investment advisor at LPL Financial LLC, based in Pasadena, CA, with 41 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
70 S. Lake Ave., Ste. 700, Pasadena, CA, 91101
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Regulatory History (4)
Regulatory
February 2021Employment Separation After Allegations
May 2019Customer Dispute
December 2018Customer Dispute
October 2007Other Business Activities
Kerry is an owner/partner in K Moy, LLC, an entity that invests in several restaurants, but is not active in running them. Kerry is also a passive investor in The M2K Group, LLC, and a board member of The Ritz Carlton HOA, and uses Moy Wealth Advisors LLC as a DBA for their advisory business.
Employment History
Current Registrations
LPL Financial LLC
Previous Registrations
Western International Securities
Morgan Stanley
Morgan StanleyBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations2 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.