CE
CE
Charles Eisenmann
37 Years of Experience
Louisville, KY
3 DisclosuresBroker
Charles Eisenmann is a registered investment advisor at LPL Financial LLC, based in Louisville, KY, with 37 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B
Fee Structure
Minimum Investment:$1K
Investment management only (planning not offered)
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.
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Location
Louisville, KY
Get directionsHistory
Regulatory History (3)
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
February 2001Settled
Customer Dispute
December 2000Denied
Customer Dispute
October 2000Denied
Employment History
Current Registrations
LPL Financial LLC
May 2009 - Present · 17 yrs
LPL Financial LLCBroker
May 2009 - Present · 17 yrs
Previous Registrations
UBS Financial Services INC.
October 2005 - June 2009 · 3 yrs 8 mos
UBS Financial Services INC.Broker
October 2005 - June 2009 · 3 yrs 8 mos
Hilliard Lyons Asset Management
January 2004 - October 2005 · 1 yr 9 mos
J.J.B. Hilliard, W.L. Lyons, INC.Broker
April 1999 - October 2005 · 6 yrs 6 mos
PNC Brokerage CORPBroker
December 1994 - April 1999 · 4 yrs 4 mos
PNC Securities CORPBroker
August 1993 - December 1994 · 1 yr 4 mos
American Express Financial Advisors INC.Broker
May 1990 - March 1991 · 10 mos
Ids Life Insurance CompanyBroker
May 1990 - March 1991 · 10 mos
Gna Securities, INC.Broker
March 1990 - April 1990 · 1 mo
Prudential-Bache Securities INC.Broker
October 1985 - March 1990 · 4 yrs 5 mos
State Registrations8 states
COFLGAINKYOHWAWI
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.