Leslie Proceviat is a registered investment advisor at LPL Financial LLC, based in San Jose, 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
101 Metro Dr # 650, San Jose, CA, 95110
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Leslie uses MLP AS Inc. as a business entity for tax and investment purposes, spending minimal time on tax preparation, accounting, and bookkeeping. She also operates MLP TAX & FINANCIAL SERVICES, INC as a DBA for her LPL business, dedicating nearly all of her time to this investment-related activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Securities America Advisors, INC.
Capital Management Investment Group
CBIZ Financial Solutions, INC.
Securities America, INC.Broker
Royal Alliance Associates, INC.Broker
Integrated Resources Equity CorporationBroker
The Lincoln National Life Insurance CompanyBroker
Lincoln Financial Advisors CorporationBroker
Lincoln National Pension Insurance CompanyBroker
State Registrations28 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.