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Douglas Sweet

LPL Financial LLC
38 Years of Experience
Fishers, IN
BrokerSells Insurance
View SEC Summary
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Douglas Sweet is a registered investment advisor at LPL Financial LLC, based in Fishers, IN, with 38 years of industry experience. Douglas 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
28129 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
—
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Location

9752 Lantern Road, Fishers, IN, 46038

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Douglas operates under several DBAs for his LPL business, including Midwest Financial Group, Inc. and Midwest Financial Advisors, Inc. He also provides investment advisory services through Charter Advisory Corporation and spends minimal time on real estate rental through Pinnacle Realty Investments, LLC. Douglas spends about a quarter of his time on fixed insurance sales.

Employment History
Current Registrations
LPL Financial LLCBroker
September 2009 - Present · 17 yrs 1 mo
Charter Advisory Corporation
August 2009 - Present · 17 yrs 2 mos
Previous Registrations
Midwest Financial Advisors, INC.
December 1999 - October 2009 · 9 yrs 10 mos
Mutual Service CorporationBroker
February 1991 - September 2009 · 18 yrs 7 mos
Titan/value Equities Group, INC.Broker
May 1989 - January 1991 · 1 yr 8 mos
Southmark Financial Services, INC.Broker
February 1988 - April 1989 · 1 yr 2 mos
State Registrations25 states
ALAZCACOCTFLGAIAILINKYMDMIMONCNJNVNYOHOKPASCTXVAWI
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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