Alan Stone is a registered investment advisor at LPL Enterprise, LLC, based in Miami, FL, with 30 years of industry experience. Alan operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
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Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
800 NW 62nd Ave, Ste 120, Miami, FL, 33126
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Regulatory History (3)
Customer Dispute
January 2008Customer Dispute
December 2004Employment Separation After Allegations
June 2003Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
SA Stone Investment Advisors INC.
SA Stone Wealth Management INC.Broker
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Edward JonesBroker
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Advest, INC.
Advest, INC.Broker
UBS Financial Services INC.Broker
UBS Financial Services INC.
Prudential Securities IncorporatedBroker
Smith Barney INC.Broker
Lehman Brothers INC.Broker
State Registrations2 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.