Timothy Shea is a CFP-designated registered investment advisor at LPL Financial LLC, based in Newport Beach, CA, with 32 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
4685 Macarthur Ct Ste 150, Newport Beach, CA, 92660
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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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Timothy uses Lucia Capital Group as a DBA for his LPL business since 2020. This activity is investment-related and takes about 10% of his time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Lucia Securities, LLCBroker
Lucia Capital Group
Raymond J. Lucia Companies, INC.
First Allied Securities, INC.Broker
Banc of America Investment Services, INC.Broker
Scudder Investor Services, INC.Broker
Scudder Weisel Capital, LLCBroker
Scudder Investor Services, INC.Broker
State Registrations17 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.