Kent Seacat is a CFP-designated registered investment advisor at LPL Financial LLC, based in Aurora, CO, with 39 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
10401 E Colfax Ave, Aurora, CO, 80010
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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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Kent operates under a DBA for his LPL business since March 2021. He also owns rental real estate, dedicating minimal time to it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
BMO Harris Financial Advisors, INC
BMO Harris Financial Advisors, INC.Broker
Bbva Securities INC.Broker
Bbva Wealth Solutions INC.
Bbva Compass Investment Solutions, INCBroker
Chase Investment Services CORP.Broker
Chase Investment Services CORP.
Banc One Securities Corporation
Banc One Securities CorporationBroker
Banc One Arizona Investment Services CorporationBroker
Titan/value Equities Group, INC.Broker
Sunamerica Securities, INC.Broker
Southmark Financial Services, INC.Broker
Mony Securities CORP.Broker
State Registrations10 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.