Carol Sutterfield is a registered investment advisor at LPL Financial LLC, based in Denver, CO, with 30 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
4100 E Mississippi Ave Ste 800, Denver, CO, 80246
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Regulatory History
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.
Learn about disclosures →Other Business Activities
Carol operates Elevate Wealth Management as a DBA for her LPL business. This activity is investment-related and conducted at her reported business location.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
Hinds Financial Group INC
Cetera Advisor Networks LLC
Cetera Advisor Networks LLCBroker
Securities America Advisors, INC.
Securities America, INC.Broker
MML Investors Services, INC.
MML Investors Services, INC.Broker
Hornor, Townsend & Kent, INC.
Hornor, Townsend & Kent, INC.Broker
Rmin Securities, INC.
Rmin Securities, INC.Broker
Banc One Securities CorporationBroker
Rmin SecuritiesBroker
Multi-Financial Securities CorporationBroker
Lifeusa Securities, INC.Broker
Wma Securities, INC.Broker
Banc One Securities CorporationBroker
Fbs Investment Services, INC.Broker
Liberty Securities CorporationBroker
Green Hill Financial Service CorporationBroker
Transamerica Securities Sales CorporationBroker
Transamerica Financial Resources, INC.Broker
Ids Life Insurance CompanyBroker
American Express Financial Advisors INC.Broker
State Registrations1 state
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.