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Gerald Wallace

LPL Financial LLC
32 Years of Experience
Lynnwood, WA
3 DisclosuresBroker
View SEC Summary
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Gerald Wallace is a registered investment advisor at LPL Financial LLC, based in Lynnwood, WA, with 32 years of industry experience. Gerald 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

16825 48th Ave W #135, Lynnwood, WA, 98037

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History

Regulatory History (3)
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.
Judgment / Lien
March 2016
Judgment / Lien
October 2014
Judgment / Lien
April 2012
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Gerald is involved in real estate rental activities since February 2022. This activity requires minimal time.

Employment History
Current Registrations
LPL Financial LLC
April 2006 - Present · 20 yrs 6 mos
LPL Financial LLCBroker
November 2005 - Present · 20 yrs 11 mos
Previous Registrations
Wm Financial Services, INC.Broker
September 1997 - December 2005 · 8 yrs 3 mos
Savoy Discount BrokerageBroker
May 1996 - June 1997 · 1 yr 1 mo
Olde Discount CorporationBroker
March 1995 - May 1995 · 2 mos
New England SecuritiesBroker
January 1995 - March 1995 · 2 mos
A. G. Edwards & Sons, INC.Broker
May 1989 - July 1990 · 1 yr 2 mos
The Stuart-James Company, IncorporatedBroker
June 1988 - April 1989 · 10 mos
State Registrations7 states
AZCACOIDORVAWA
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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