Carol Keedy
Carol Keedy is a registered investment advisor at LPL Financial LLC, based in Rockford, IL, 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
4320 Spring Creek Rd #6, Rockford, IL, 61107
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Regulatory History (1)
Customer Dispute
April 2016Other Business ActivitiesSells Insurance
Carol services non-variable insurance policies, dedicating minimal time to this activity. She also operates Spring Creek Financial LLC as a DBA for her LPL business, spending minimal time on it.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Waterstone Financial Group, INC.Broker
Waterstone Financial Group, INC.
Robert W. Baird & CO. Incorporated
Robert W. Baird & CO. IncorporatedBroker
Amcore Investment Services, INCBroker
Pruco Securities CorporationBroker
The Prudential Insurance Company of AmericaBroker
State Registrations9 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.