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Fred Abajelo

LPL Financial LLC
39 Years of Experience
San Jose, CA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Fred Abajelo is a registered investment advisor at LPL Financial LLC, based in San Jose, CA, with 39 years of industry experience. Fred 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

2010 N First Street, Suite 500, San Jose, CA, 95131

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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
October 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Fred operates under the DBA Tech Investment Management for his LPL business. This activity is investment-related and takes about a quarter of his time.

Employment History
Current Registrations
LPL Financial LLCBroker
September 2019 - Present · 7 yrs 1 mo
LPL Financial LLC
September 2019 - Present · 7 yrs 1 mo
LPL Financial LLC
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Cetera Investment Advisers LLC
January 2014 - September 2019 · 5 yrs 8 mos
Cetera Investment Services LLC
December 2010 - January 2014 · 3 yrs 1 mo
Cetera Investment Services LLCBroker
November 2010 - September 2019 · 8 yrs 10 mos
Cuso Financial Services, L.P.
July 2001 - December 2010 · 9 yrs 5 mos
Cuso Financial Services, L.P.Broker
February 2001 - December 2010 · 9 yrs 10 mos
Banc of America Investment Services, INC.Broker
July 2000 - February 2001 · 7 mos
Wells Fargo Securities INC.Broker
October 1999 - April 2000 · 6 mos
Norwest Investment Services, INC.Broker
September 1999 - April 2000 · 7 mos
Ba Investment Services, INC.Broker
May 1992 - May 1998 · 6 yrs
Gna Securities, INC.Broker
June 1988 - June 1992 · 4 yrs
Bateman Eichler, Hill Richards, IncorporatedBroker
November 1986 - June 1988 · 1 yr 7 mos
Ids Marketing CorporationBroker
March 1985 - November 1986 · 1 yr 8 mos
Ids Financial Services INC.Broker
March 1985 - November 1986 · 1 yr 8 mos
State Registrations17 states
ALAZCACOCTDCFLKYNVNYOHOKORSCTXVAWA
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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