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Kathleen Erickson
38 Years of Experience
Ft. Bragg, CA
1 DisclosureBroker
Kathleen Erickson is a registered investment advisor at LPL Financial LLC, based in Ft. Bragg, CA, with 38 years of industry experience. Kathleen 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.
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 Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
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Location
Ft. Bragg, CA
Get directionsHistory
Regulatory History (1)
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Customer Dispute
May 2015Denied
Employment History
Current Registrations
LPL Financial LLC
December 1997 - Present · 28 yrs 10 mos
LPL Financial LLCBroker
October 1997 - Present · 29 yrs
Previous Registrations
Ba Investment Services, INC.Broker
August 1992 - October 1997 · 5 yrs 2 mos
Financial West GroupBroker
April 1991 - December 1991 · 8 mos
Financial West Investment GroupBroker
October 1990 - April 1991 · 6 mos
Glenfed Brokerage ServicesBroker
June 1988 - November 1988 · 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1985 - June 1988 · 3 yrs 2 mos
State Registrations8 states
CAKYMAMIMOOHORWA
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.