Patricia Fleming
Patricia Fleming is a CFP-designated registered investment advisor at LPL Financial LLC, based in San Pedro, CA, with 36 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
1891 N Gaffey St., Ste 226, San Pedro, CA, 90731
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Regulatory History (1)
Customer Dispute
July 2024Other Business ActivitiesSells Insurance
Patricia is involved in non-variable insurance activities since December 2021. She also operates Lumena Financial Strategies, Inc. as a DBA for her LPL business, dedicating full-time hours during securities trading.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Waddell & Reed
Waddell & ReedBroker
State Registrations37 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.