Arthur Bertolina is a registered investment advisor at LPL Financial LLC, based in Sedona, AZ, with 57 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
Sedona, AZ
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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.
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Arthur is the president of Arthur T. Bertolina & Associates, a business entity for tax and investment purposes only, dedicating a few hours per week. He also serves in law enforcement as Deputy Director of Equine Training for Northern Arizona, spending about 10-20% of his time on this activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
National Planning CorporationBroker
National Planning Corporation ("npc of America" in Fl & Ny)
Butler, Bertolina & Eppey, INC.
Royal Alliance Associates, INC.
Butler, Bertolina & Eppey, INC.
Royal Alliance Associates, INC.Broker
Great American Securities INC.Broker
Dean Witter Reynolds INC.Broker
Dean Witter & CO. IncorporatedBroker
Dean Witter & CO. IncorporatedBroker
State Registrations12 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.