Marie Caldera
Marie Caldera is a registered investment advisor at LPL Financial LLC, based in San Luis Obispo, CA, with 35 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
455 Buena Vista Ave, San Luis Obispo, CA, 93405
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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 ActivitiesSells Insurance
Marie owns Marie Caldera Investment & Insurance Services, where she works as an insurance agent providing health, dental, and vision insurance, dedicating about a third of her time. She also owns rental properties, spending minimal time on maintenance and rental activities.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Pageone Financial, INC.
Next Financial Group, INC.
Next Financial Group, INC.Broker
Advantage Capital CorporationBroker
Protective Equity Services, INC.Broker
Mony Securities CORP.Broker
State Registrations4 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.