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Kenneth Knapp

LPL Financial LLC
40 Years of Experience
Phoenix, AZ
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Kenneth Knapp is a registered investment advisor at LPL Financial LLC, based in Phoenix, AZ, with 40 years of industry experience. Kenneth 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

1430 E Missouri Ave, #B-265, Phoenix, AZ, 85014

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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
November 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Kenneth sells term insurance, health, and long-term care insurance, dedicating minimal time to this activity. He also has a business entity for tax/investment purposes and a DBA for his LPL business.

Employment History
Current Registrations
LPL Financial LLC
June 1996 - Present · 30 yrs 4 mos
LPL Financial LLC
August 1991 - Present · 35 yrs 2 mos
LPL Financial LLCBroker
August 1991 - Present · 35 yrs 2 mos
Previous Registrations
Mason, Hunt & CO., INC.Broker
June 1988 - August 1991 · 3 yrs 2 mos
Fox & CompanyBroker
August 1987 - May 1988 · 9 mos
Mason, Hunt & CO., INC.Broker
July 1986 - August 1991 · 5 yrs 1 mo
Mony Securities CORP.Broker
November 1985 - June 1986 · 7 mos
State Registrations39 states
ALARAZCACOCTDCDEFLGAIAILINKSKYLAMAMDMEMIMNMOMTNCNJNVNYOHOKORPASCSDTXUTVAVTWAWI
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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