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Annette Conley

LPL Financial LLC
41 Years of Experience
Roseville, MN
2 DisclosuresBroker
View SEC Summary
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Annette Conley is a registered investment advisor at LPL Financial LLC, based in Roseville, MN, with 41 years of industry experience. Annette 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

3065 Centre Pointe Dr Ste 2, Roseville, MN, 55113-1118

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History

Regulatory History (2)
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
October 1999
Award / Judgment
Customer Dispute
December 1998
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
January 2014 - Present · 12 yrs 9 mos
LPL Financial LLCBroker
September 2007 - Present · 19 yrs 1 mo
Previous Registrations
RBC Dain Rauscher INC.Broker
March 1998 - September 2007 · 9 yrs 6 mos
John G. Kinnard and Company, IncorporatedBroker
January 1994 - March 1998 · 4 yrs 2 mos
Hayne, Miller Financial, INC.Broker
October 1990 - January 1994 · 3 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1984 - October 1990 · 6 yrs
State Registrations5 states
AKAZCOFLMN
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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