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Mary Jones

LPL Financial LLC
34 Years of Experience
Hot Springs Village, AR
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Mary Jones is a registered investment advisor at LPL Financial LLC, based in Hot Springs Village, AR, with 34 years of industry experience. Mary 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

3880 N Highway 7, Hot Springs Village, AR, 71909

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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
September 2004
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Mary is involved in several outside business activities. She works at Jones & Associates Inc. doing tax preparation, accounting, and CPA work, and also acts as a landlord for real estate rentals, and is a notary public. Mary is also an insurance agent with AssureSource LLC, selling non-variable insurance products, dedicating a few hours per week.

Employment History
Current Registrations
LPL Financial LLC
June 2016 - Present · 10 yrs 4 mos
LPL Financial LLCBroker
June 2016 - Present · 10 yrs 4 mos
Previous Registrations
Cetera Advisor Networks LLC
September 2013 - June 2016 · 2 yrs 9 mos
Cetera Advisor Networks LLCBroker
September 2013 - June 2016 · 2 yrs 9 mos
Tower Square Securities, INC.
October 2002 - September 2013 · 10 yrs 11 mos
Tower Square Securities, INC.Broker
July 2001 - September 2013 · 12 yrs 2 mos
Fas Wealth Management Services, INC.Broker
November 2000 - August 2001 · 9 mos
Birchtree Financial Services, INC.Broker
November 1993 - November 2000 · 7 yrs
American Express Financial Advisors INC.Broker
August 1993 - October 1993 · 2 mos
Ids Life Insurance CompanyBroker
August 1993 - October 1993 · 2 mos
American Express Financial Advisors INC.Broker
July 1990 - December 1990 · 5 mos
Ids Life Insurance CompanyBroker
July 1990 - December 1990 · 5 mos
Robert Thomas Securities, INCBroker
August 1987 - February 1989 · 1 yr 6 mos
State Registrations23 states
ALARAZCACOFLGAILINLAMIMNMONCNENHOKPARITXVAWIWY
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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