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Mark Lamb

LPL Financial LLC
40 Years of Experience
Redwood City, CA
5 Disclosures
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Mark Lamb is a registered investment advisor at LPL Financial LLC, based in Redwood City, CA, with 40 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. 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

Redwood City, CA

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History

Regulatory History (5)
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.
Regulatory
May 2004
Final
Regulatory
November 2002
Final
Employment Separation After Allegations
May 2001
Customer Dispute
March 1999
Denied
Customer Dispute
January 1995
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Mark operates Lamb Wealth Management as a DBA for his LPL business, which is investment-related. This activity consumes all of Mark's time.

Employment History
Current Registrations
LPL Financial LLC
June 2024 - Present · 2 yrs 4 mos
Previous Registrations
Western International Securities
September 2017 - June 2024 · 6 yrs 9 mos
Financial West Group
June 2008 - August 2017 · 9 yrs 2 mos
Financial West GroupBroker
June 2008 - August 2017 · 9 yrs 2 mos
The Shemano Group, INC.Broker
June 2002 - July 2008 · 6 yrs 1 mo
RBC Dain Rauscher INC.
May 2002 - June 2002 · 1 mo
RBC Dain Rauscher INC.Broker
March 2002 - June 2002 · 3 mos
Sutro & CO. IncorporatedBroker
June 2001 - March 2002 · 9 mos
Wells Fargo Van Kasper, LLCBroker
October 1997 - June 2001 · 3 yrs 8 mos
Painewebber IncorporatedBroker
January 1995 - October 1997 · 2 yrs 9 mos
Kidder, Peabody & CO. IncorporatedBroker
February 1994 - January 1995 · 11 mos
Smith Barney Shearson INC.Broker
November 1990 - March 1994 · 3 yrs 4 mos
Lehman Brothers INC.Broker
January 1989 - December 1990 · 1 yr 11 mos
Drexel Burnham Lambert IncorporatedBroker
December 1985 - February 1989 · 3 yrs 2 mos
State Registrations2 states
CATX
Advisor

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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