JD
JD

Janet Dember

41 Years of Experience
Torrington, CT
2 DisclosuresBrokerSells Insurance

Janet Dember is a registered investment advisor at LPL Financial LLC, based in Torrington, CT, 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)

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.

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Location

One Torrington Office Plaza, Suite 304, Torrington, CT, 06790

Get directions

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 2011
Closed-No Action
Customer Dispute
September 1999
Settled
Other Business ActivitiesSells Insurance

Janet is involved in tax preparation/accounting since 1993, dedicating a few hours per week. She also operates under the DBA Dember Wealth Solutions and is involved in non-variable insurance.

Employment History
Current Registrations
LPL Financial LLCBroker
July 2021 - Present · 4 yrs 10 mos
LPL Financial LLC
July 2021 - Present · 4 yrs 10 mos
Previous Registrations
Waddell & Reed
May 1997 - July 2021 · 24 yrs 2 mos
Waddell & ReedBroker
March 1985 - July 2021 · 36 yrs 4 mos
State Registrations26 states
CACOCTFLGAILLAMAMDMEMIMONCNHNJNMNYORPARISCTNTXVAVTWI
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.