Gary Frank
Gary Frank is a registered investment advisor at LPL Financial LLC, based in Appleton, WI, with 34 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
Appleton, WI
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Regulatory History (2)
Criminal
April 2020Customer Dispute
January 2006Other Business ActivitiesSells Insurance
Gary sells non-variable insurance, dedicating a few hours per week to this activity. He also owns rental real estate and operates Coastal View Wealth Management as a DBA for his LPL business, but spends no time on the latter.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Invest Financial Corporation
Invest Financial CorporationBroker
Aig Financial Advisors, INC.Broker
Sunamerica Securities, INC.Broker
Sii Investments, INC.Broker
Wma Securities, INC.Broker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
State Registrations22 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.