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Katharine Kanitra

LPL Financial LLC
40 Years of Experience
Cerritos, CA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Katharine Kanitra is a registered investment advisor at LPL Financial LLC, based in Cerritos, CA, with 40 years of industry experience. Katharine 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

18000 Studebaker Rd, Ste. 700, Cerritos, CA, 90703

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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
August 2003
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
March 2022 - Present · 4 yrs 7 mos
LPL Financial LLCBroker
March 2022 - Present · 4 yrs 7 mos
Previous Registrations
J.P. Morgan Securities LLCBroker
October 2012 - March 2022 · 9 yrs 5 mos
J.P. Morgan Securities LLC
October 2012 - March 2022 · 9 yrs 5 mos
Chase Investment Services CORP.Broker
May 2009 - October 2012 · 3 yrs 5 mos
Chase Investment Services CORP.
May 2009 - October 2012 · 3 yrs 5 mos
Wamu Investments, INC.
February 2006 - May 2009 · 3 yrs 3 mos
Wamu Investments, INC.Broker
January 1999 - May 2009 · 10 yrs 4 mos
Griffin Financial ServicesBroker
March 1997 - January 1999 · 1 yr 10 mos
Asb Financial ServicesBroker
June 1996 - March 1997 · 9 mos
Essex National Securities, INC.Broker
September 1995 - November 1995 · 2 mos
First Interstate Investments,inc.Broker
September 1995 - June 1996 · 9 mos
Griffin Financial ServicesBroker
April 1986 - September 1995 · 9 yrs 5 mos
State Registrations4 states
AZCAIDSD
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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