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Mark Quercio

LPL Financial LLC
39 Years of Experience
Worcester, MA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Mark Quercio is a registered investment advisor at LPL Financial LLC, based in Worcester, MA, with 39 years of industry experience. Mark 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

1 Mercantile St Ste 530, Worcester, MA, 01608

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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
June 2002
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mark operates North Pointe Wealth Management as a DBA for his LPL business, dedicating full-time hours during securities trading. He also works as a non-variable insurance agent, spending minimal time on this activity.

Employment History
Current Registrations
LPL Financial LLC
May 2021 - Present · 5 yrs 5 mos
LPL Financial LLCBroker
May 2021 - Present · 5 yrs 5 mos
Previous Registrations
Voya Financial Advisors, INC.
July 2016 - May 2021 · 4 yrs 10 mos
Voya Financial Advisors, INC.Broker
July 2016 - May 2021 · 4 yrs 10 mos
Investors Capital Advisory
December 2005 - July 2016 · 10 yrs 7 mos
Investors Capital CORP.Broker
September 2001 - July 2016 · 14 yrs 10 mos
First Union Securities, INC.Broker
October 1999 - September 2001 · 1 yr 11 mos
First Union Capital Markets CORP.Broker
November 1998 - October 1999 · 11 mos
Robert Thomas Securities, INCBroker
September 1997 - November 1998 · 1 yr 2 mos
Royal Alliance Associates, INC.Broker
January 1997 - September 1997 · 8 mos
Keogler, Morgan & Company, INC.Broker
August 1994 - January 1997 · 2 yrs 5 mos
Metlife Securities INC.Broker
July 1991 - July 1994 · 3 yrs
Metropolitan Life Insurance CompanyBroker
July 1991 - July 1994 · 3 yrs
American Express Financial Advisors INC.Broker
March 1990 - July 1991 · 1 yr 4 mos
Ids Life Insurance CompanyBroker
March 1990 - July 1991 · 1 yr 4 mos
Painewebber IncorporatedBroker
September 1988 - March 1990 · 1 yr 6 mos
American Express Financial Advisors INC.Broker
January 1987 - July 1991 · 4 yrs 6 mos
State Registrations19 states
AKAZCACTFLGAMAMEMINCNHNVNYPARISCTXVAVT
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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