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GP
CFP · ChFC
GP
CFP · ChFC

Gregory Pettys

LPL Financial LLC
37 Years of Experience
Springfield, IL
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Gregory Pettys is a CFP, ChFC-designated registered investment advisor at LPL Financial LLC, based in Springfield, IL, with 37 years of industry experience. Gregory 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

3400 Wabash Ave, Springfield, IL, 62711

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History

Regulatory History (2)
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.
Financial
November 2016
Final
Customer Dispute
August 1994
Settled
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Gregory operates BOS Investment Services and BOS Wealth & Planning as DBAs for his LPL business. He is also an insurance consultant, author, speaker, prison ministry pastor, and has a financial institution duty at Bank of Springfield, taking about half of Gregory's time.

Employment History
Current Registrations
LPL Financial LLC
January 2024 - Present · 2 yrs 9 mos
LPL Financial LLCBroker
January 2024 - Present · 2 yrs 9 mos
Previous Registrations
Bos Asset Management, LLC
June 2022 - January 2024 · 1 yr 7 mos
MML Investors Services, LLC
August 2018 - January 2022 · 3 yrs 5 mos
MML Investors Services, LLCBroker
June 2018 - January 2022 · 3 yrs 7 mos
Prudential Financial Planning Services
May 2013 - May 2018 · 5 yrs
Pruco Securities, LLC.Broker
January 2013 - May 2018 · 5 yrs 4 mos
Woodbury Financial Services, INC.
March 2011 - October 2012 · 1 yr 7 mos
Woodbury Financial Services, INC.Broker
March 2011 - October 2012 · 1 yr 7 mos
Hartford Equity Sales Company INC.Broker
February 2011 - January 2013 · 1 yr 11 mos
Saybrus Equity Services, INCBroker
September 2010 - January 2011 · 4 mos
Phoenix Equity Planning CorporationBroker
February 2009 - September 2010 · 1 yr 7 mos
Phoenix Equity Planning CorporationBroker
June 2008 - February 2009 · 8 mos
Sammons Securities Company, LLCBroker
November 2007 - May 2008 · 6 mos
Thrivent Investment Management INC.
August 2002 - October 2007 · 5 yrs 2 mos
Thrivent Investment Management INC.Broker
August 2002 - October 2007 · 5 yrs 2 mos
American Express Financial Advisors, INC.
January 2002 - June 2002 · 5 mos
Ids Life Insurance CompanyBroker
June 1998 - June 2002 · 4 yrs
American Express Financial Advisors INC.Broker
June 1998 - June 2002 · 4 yrs
First Allied Securities, INC.Broker
October 1997 - January 1998 · 3 mos
Lasalle St Securities, L.L.C.Broker
February 1997 - September 1997 · 7 mos
Prudential Securities IncorporatedBroker
July 1994 - April 1995 · 9 mos
J.J.B. Hilliard, W.L. Lyons, INC.Broker
April 1987 - July 1994 · 7 yrs 3 mos
Metlife Securities INC.Broker
July 1986 - January 1992 · 5 yrs 6 mos
Metropolitan Life Insurance CompanyBroker
July 1986 - April 1987 · 9 mos
State Registrations2 states
ILMO
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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