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HE
CFP
HE
CFP

Herbert Eng

LPL Financial LLC
37 Years of Experience
Clearwater, FL
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Herbert Eng is a CFP-designated registered investment advisor at LPL Financial LLC, based in Clearwater, FL, with 37 years of industry experience. Herbert 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

18167 Us Hwy19 N Ste 400, Clearwater, FL, 33764

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History

Regulatory History (1)
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.
Employment Separation After Allegations
March 2011
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Herbert operates Crown Point, Inc. as a DBA for his LPL business, dedicating nearly full-time hours to it. He is also an agent for Life Brokerage Financial Group, selling non-variable insurance, which takes about 10-20% of his time, and owns rental real estate, spending a few hours per week on it.

Employment History
Current Registrations
LPL Financial LLCBroker
February 2018 - Present · 8 yrs 9 mos
LPL Financial LLC
February 2018 - Present · 8 yrs 9 mos
Previous Registrations
Invest Financial Corporation
April 2011 - February 2018 · 6 yrs 10 mos
Invest Financial CorporationBroker
March 2011 - February 2018 · 6 yrs 11 mos
Lincoln Financial Advisors Corporation
January 2006 - March 2011 · 5 yrs 2 mos
Lincoln Financial Advisors CorporationBroker
January 2006 - March 2011 · 5 yrs 2 mos
The Lincoln National Life Insurance CompanyBroker
January 2006 - April 2006 · 3 mos
Intersecurities, INC.
September 2003 - October 2006 · 3 yrs 1 mo
Intersecurities, INC.Broker
August 2003 - October 2006 · 3 yrs 2 mos
New England Securities Corporation
February 2001 - August 2003 · 2 yrs 6 mos
New England SecuritiesBroker
February 2001 - August 2003 · 2 yrs 6 mos
Lincoln Financial Advisors CorporationBroker
June 1998 - February 2001 · 2 yrs 8 mos
Cigna Financial Advisors,inc.Broker
February 1991 - June 1998 · 7 yrs 4 mos
American Express Financial Advisors INC.Broker
October 1988 - January 1991 · 2 yrs 3 mos
Ids Life Insurance CompanyBroker
October 1988 - January 1991 · 2 yrs 3 mos
State Registrations2 states
FLMD
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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