Arthur Pierce
Arthur Pierce is a registered investment advisor at LPL Financial LLC, based in Santa Rosa, CA, with 39 years of industry experience. Arthur 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
Santa Rosa, CA
Get directionsHistory
Regulatory History (3)
Customer Dispute
August 2004Customer Dispute
November 2003Customer Dispute
April 1993Other Business Activities
Arthur operates under the DBA Pierce Financial Group, Inc. This activity is not investment-related.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
UBS Financial Services INC.
UBS Financial Services INC.Broker
State Registrations11 states
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
More Advisors
- Christopher Arnold, CFP, ChFCLPL Financial LLC
- Robert TrentLPL Financial LLC
- Jane Scarbrough, CFPLPL Financial LLC
- Brooks Crissey, CFPLPL Financial LLC
- Gregory Randall, CFPLPL Financial LLC
- David Wood, ChFCLPL Financial LLC