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Timothy States

LPL Financial LLC
38 Years of Experience
Alexandria, VA
1 DisclosureBroker
View SEC Summary
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Timothy States is a registered investment advisor at LPL Financial LLC, based in Alexandria, VA, with 38 years of industry experience. Timothy 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

2121 Eisenhower Ave Ste 207, Alexandria, VA, 22314

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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.
Customer Dispute
May 1999
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Timothy operates Equinox Wealth Management as a DBA for his LPL business. This activity is investment-related and takes up nearly all of his time.

Employment History
Current Registrations
LPL Financial LLC
August 2024 - Present · 2 yrs 2 mos
LPL Financial LLCBroker
August 2024 - Present · 2 yrs 2 mos
Previous Registrations
Osaic Wealth, INC.Broker
June 2024 - August 2024 · 2 mos
Osaic Wealth, INC.
June 2024 - August 2024 · 2 mos
Securities America Advisors, INC.
December 2021 - June 2024 · 2 yrs 6 mos
Usadvisors Wealth Management, LLC
May 2019 - August 2024 · 5 yrs 3 mos
Securities America, INC.Broker
December 2018 - June 2024 · 5 yrs 6 mos
Lifemark Securities CORP.Broker
November 2014 - December 2018 · 4 yrs 1 mo
Purshe Kaplan Sterling InvestmentsBroker
January 2009 - November 2014 · 5 yrs 10 mos
Berthel Fisher & Company Financial Services, INC.
January 2004 - December 2008 · 4 yrs 11 mos
Berthel, Fisher & Company Financial Services, INC.Broker
January 2003 - December 2008 · 5 yrs 11 mos
Berthel Fisher & Company Financial Services, INC.
January 2003 - October 2003 · 9 mos
UBS Painewebber INC.
September 1999 - January 2003 · 3 yrs 4 mos
UBS Painewebber INC.Broker
August 1999 - January 2003 · 3 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1994 - September 1999 · 5 yrs 8 mos
Dean Witter Reynolds INC.Broker
January 1992 - April 1994 · 2 yrs 3 mos
Edward D. Jones & CO., L.P.Broker
October 1984 - July 1988 · 3 yrs 9 mos
State Registrations15 states
AZCADCFLGAINKYMDMONCNVPASCTXVA
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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