CW
CW
Colin Wren is a registered investment advisor at LPL Financial LLC, based in Carlsbad, CA, 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B
Fee Structure
Minimum Investment:$1K
Investment management only (planning not offered)
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.
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Location
Carlsbad, CA
Get directionsHistory
Regulatory History (1)
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.
Customer Dispute
September 1994Settled
Employment History
Current Registrations
LPL Financial LLCBroker
June 2022 - Present · 3 yrs 11 mos
LPL Financial LLC
June 2022 - Present · 3 yrs 11 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
August 2008 - July 2022 · 13 yrs 11 mos
Wells Fargo Clearing Services, LLCBroker
August 2008 - July 2022 · 13 yrs 11 mos
UBS Financial Services INC.Broker
October 2002 - August 2008 · 5 yrs 10 mos
UBS Financial Services INC.
October 2002 - August 2008 · 5 yrs 10 mos
A. G. Edwards & Sons, INC.
July 1997 - October 2002 · 5 yrs 3 mos
A. G. Edwards & Sons, INC.Broker
December 1996 - October 2002 · 5 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1991 - December 1996 · 5 yrs 3 mos
State Registrations19 states
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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.