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Gerald English

LPL Financial LLC
52 Years of Experience
Colorado Springs, CO
4 DisclosuresBroker
View SEC Summary
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Gerald English is a registered investment advisor at LPL Financial LLC, based in Colorado Springs, CO, with 52 years of industry experience. Gerald is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Colorado Springs, CO

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History

Regulatory History (4)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
February 2019
Final
Financial
December 2018
Final
Customer Dispute
December 1992
Award / Judgment
Customer Dispute
July 1987
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Gerald operates under the DBA English Financial Services since 2010.

Employment History
Current Registrations
LPL Financial LLCBroker
November 2006 - Present · 19 yrs 11 mos
LPL Financial LLC
November 2006 - Present · 19 yrs 11 mos
Previous Registrations
D.A. Davidson & CO.Broker
March 2004 - December 2006 · 2 yrs 9 mos
D.A. Davidson & CO.
March 2004 - December 2006 · 2 yrs 9 mos
Mcdonald Investments INC.
November 2001 - March 2004 · 2 yrs 4 mos
Mcdonald Investments INC.Broker
March 2001 - March 2004 · 3 yrs
First Union Securities, INC.Broker
December 1995 - April 2001 · 5 yrs 4 mos
Prudential Securities IncorporatedBroker
July 1994 - December 1995 · 1 yr 5 mos
Pruco Securities CorporationBroker
March 1994 - July 1994 · 4 mos
Prudential Securities IncorporatedBroker
October 1989 - February 1994 · 4 yrs 4 mos
Painewebber IncorporatedBroker
July 1984 - September 1989 · 5 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 1978 - August 1984 · 5 yrs 10 mos
Dean Witter Reynolds INC.Broker
February 1978 - November 1978 · 9 mos
Dean Witter & CO. IncorporatedBroker
October 1977 - February 1978 · 4 mos
Quinn & CO., INC.Broker
September 1976 - November 1977 · 1 yr 2 mos
E. F. Hutton & Company INCBroker
February 1976 - November 1976 · 9 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
November 1973 - April 1976 · 2 yrs 5 mos
State Registrations14 states
AZCACOFLILINKSMONENMOKSCTXWY
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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