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Carol Dehen

LPL Financial LLC
35 Years of Experience
Grand Rapids, MI
1 DisclosureBroker
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Carol Dehen is a registered investment advisor at LPL Financial LLC, based in Grand Rapids, MI, with 35 years of industry experience. Carol 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

607 Cascade W Pkwy Se, Grand Rapids, MI, 49546

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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.
Customer Dispute
March 2012
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Carol operates Mosaic Wealth Management and Mosaic Referral Partners as DBAs for her LPL business. She also owns rental real estate through multiple entities and has a business entity for tax/investment purposes only, dedicating minimal time to these activities.

Employment History
Current Registrations
LPL Financial LLCBroker
December 2007 - Present · 18 yrs 10 mos
LPL Financial LLC
December 2007 - Present · 18 yrs 10 mos
Previous Registrations
Morgan Stanley & CO., IncorporatedBroker
April 2007 - December 2007 · 8 mos
Morgan Stanley & CO., Incorporated
April 2007 - December 2007 · 8 mos
Morgan Stanley
July 2006 - April 2007 · 9 mos
Morgan Stanley Dw INC.Broker
May 1995 - April 2007 · 11 yrs 11 mos
Robert W. Baird & CO. IncorporatedBroker
March 1991 - June 1995 · 4 yrs 3 mos
State Registrations17 states
AZCODCFLILINLAMAMIMTNCNJNYOHORTXWI
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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