David Dufour is a registered investment advisor at LPL Financial LLC, based in New Britain, CT, 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
450 W Main St, New Britain, CT, 06052
Get directionsHistory
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
David operates under two DBAs, Achieve Financial Advisors and Mutual Security Investment & Retirement Services, both related to his LPL business. He also works as a teacher at Powder Ridge Ski Resort, dedicating about 10-20% of his time during the months he works there.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
CUNA Brokerage Services, INC.
CUNA Brokerage Services, INC.Broker
Citizens Securities, INC.
Citizens Securities, INC.Broker
LPL Financial LLCBroker
LPL Financial LLC
Santander Securities
Santander Securities LLCBroker
LPL Financial LLC
LPL Financial LLCBroker
Newalliance Investments, INC.Broker
Strategic Advisers, INC.
Fidelity Brokerage Services LLCBroker
American Skandia Marketing, INC.Broker
National Financial Services CorporationBroker
Fidelity Brokerage Services, INC.Broker
G. R. Phelps & CO., INC.Broker
Cambridge-Newport Company (the)Broker
Hibbard Brown & CO., INC.Broker
State Registrations11 states
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.