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Amy Kaufman

LPL Financial LLC
20 Years of Experience
Cypress, CA
5 DisclosuresBroker
View SEC Summary
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Amy Kaufman is a registered investment advisor at LPL Financial LLC, based in Cypress, CA, with 20 years of industry experience. Amy 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

Cypress, CA

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History

Regulatory History (5)
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.
Financial
October 2023
Final
Financial
March 2018
Final
Financial
December 2017
Final
Financial
September 2017
Final
Financial
August 2017
Final
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLCBroker
April 2026 - Present · 6 mos
LPL Financial LLC
April 2026 - Present · 6 mos
LPL Financial LLC
April 2026 - Present · 6 mos
Previous Registrations
Meeder Advisory Services, INC.
November 2025 - April 2026 · 5 mos
Meeder Distribution Services, INC.Broker
November 2025 - April 2026 · 5 mos
Cetera Investment Advisers LLC
June 2023 - February 2025 · 1 yr 8 mos
Summit Brokerage Services, INC.Broker
May 2016 - December 2019 · 3 yrs 7 mos
First Allied Securities, INC.Broker
May 2016 - September 2022 · 6 yrs 4 mos
Cetera Investment Services LLCBroker
February 2016 - February 2025 · 9 yrs
Cetera Advisors LLCBroker
February 2016 - February 2025 · 9 yrs
Cetera Financial Specialists LLCBroker
February 2016 - February 2025 · 9 yrs
Cetera Advisor Networks LLC
November 2015 - June 2023 · 7 yrs 7 mos
Cetera Advisor Networks LLCBroker
September 2015 - February 2025 · 9 yrs 5 mos
Charles Schwab & CO., INC.Broker
May 2006 - December 2007 · 1 yr 7 mos
Chase Investment Services CORP.Broker
November 2005 - May 2006 · 6 mos
Citistreet Equities LLCBroker
November 2004 - October 2005 · 11 mos
Charles Schwab & CO., INC.Broker
June 1998 - October 2004 · 6 yrs 4 mos
Sunamerica Securities, INC.Broker
May 1997 - April 1998 · 11 mos
State Registrations1 state
CA
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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