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Lawrence Agler

LPL Financial LLC
39 Years of Experience
Saratoga Springs, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Lawrence Agler is a registered investment advisor at LPL Financial LLC, based in Saratoga Springs, NY, with 39 years of industry experience. Lawrence 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

4 Franklin Square, Ste B, Saratoga Springs, NY, 12866

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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.
Employment Separation After Allegations
December 1990
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Lawrence operates Proeast Asset Management as a DBA for his LPL business. He is also a business owner of Modern Insurance Solutions, LLC and Beacon 401K Advisors, LLC, and sells life, long-term care, disability, and annuity insurance through Proeast Asset Management, dedicating minimal time to these activities.

Employment History
Current Registrations
LPL Financial LLC
February 2023 - Present · 3 yrs 8 mos
LPL Financial LLCBroker
February 2023 - Present · 3 yrs 8 mos
Previous Registrations
Securities America, INC.Broker
October 2017 - February 2023 · 5 yrs 4 mos
Securities America Advisors, INC.
October 2017 - February 2023 · 5 yrs 4 mos
National Planning Corporation ("npc of America" in Fl & Ny)
April 2006 - October 2017 · 11 yrs 6 mos
National Planning CorporationBroker
March 2006 - October 2017 · 11 yrs 7 mos
Jefferson Pilot Securities CORP
March 2003 - April 2006 · 3 yrs 1 mo
Jefferson Pilot Securities CorporationBroker
July 2000 - April 2006 · 5 yrs 9 mos
Polaris Advisory Services INC
August 1999 - March 2003 · 3 yrs 7 mos
Osaic Fs, INC.
August 1999 - August 1999 · 0 mos
Polaris Financial Services, INC.Broker
June 1997 - July 2000 · 3 yrs 1 mo
United Securities Group, INC.Broker
August 1995 - September 1997 · 2 yrs 1 mo
Bannon & Whitney, INC.Broker
November 1994 - January 1995 · 2 mos
New England SecuritiesBroker
January 1993 - November 1994 · 1 yr 10 mos
Polaris Financial Services, INC.Broker
January 1991 - December 1992 · 1 yr 11 mos
Linsco/private Ledger CORP.Broker
March 1989 - January 1991 · 1 yr 10 mos
David Lerner Associates, INC.Broker
March 1986 - March 1989 · 3 yrs
State Registrations7 states
CTFLILMANJNYVT
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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