Cody Siebert is a registered investment advisor at LPL Financial LLC, based in Katy, TX, with 38 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
1526 Katy Gap Rd Ste 101, Katy, TX, 77494
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Cody is an agent for fixed insurance policies through Highland Capital Brokerage and owns Dream Catcher Farms, an agricultural business. He also works as a financial advisor with Securities America Advisors Inc. and owns Siebert, Briggs and Company Wealth Mgmt Advisors, LLC, a FINRA-regulated investment business; these activities take about half of his time and about 10-20% of his time, respectively.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Osaic Wealth, INC.Broker
Osaic Wealth, INC.
Securities America Advisors, INC.
Securities America, INC.Broker
1st Global Advisors INC
1st Global Capital CORP.Broker
Aig Sunamerica Capital Services, INC.Broker
Sunamerica Securities, INC.Broker
Advantage Capital CorporationBroker
American Capital Marketing, INC.Broker
Planned Investments INC.Broker
Advantage Capital CorporationBroker
State Registrations16 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.