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Mark Faler

LPL Financial LLC
41 Years of Experience
Bountiful, UT
1 DisclosureBrokerSells Insurance
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Mark Faler is a registered investment advisor at LPL Financial LLC, based in Bountiful, UT, with 41 years of industry experience. Mark 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
—
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Location

Bountiful, UT

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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
May 1992
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mark engages in outside sales of non-variable insurance products since 2004. He also operates under the DBA Keystone Wealth Management & Estate Planning and serves as a notary public, dedicating minimal time to the latter.

Employment History
Current Registrations
LPL Financial LLC
February 2004 - Present · 22 yrs 8 mos
LPL Financial LLCBroker
October 2003 - Present · 23 yrs
Previous Registrations
Wachovia Securities, LLCBroker
November 1999 - November 2003 · 4 yrs
Dain Rauscher IncorporatedBroker
March 1998 - November 1999 · 1 yr 8 mos
Dain Rauscher IncorporatedBroker
March 1997 - March 1998 · 1 yr
Prudential Securities IncorporatedBroker
September 1985 - March 1997 · 11 yrs 6 mos
State Registrations10 states
AZCAFLHIIDMENVORTXUT
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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