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Carl White

LPL Financial LLC
34 Years of Experience
Helena, MT
1 DisclosureBroker
View SEC Summary
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Carl White is a registered investment advisor at LPL Financial LLC, based in Helena, MT, with 34 years of industry experience. Carl 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

1018 West Custer Ave Ste 3, Helena, MT, 59602

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History

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
December 2018
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Carl operates Dunn Financial Solutions as a DBA for his LPL business. He dedicates all of his time to this investment-related activity.

Employment History
Current Registrations
LPL Financial LLC
January 2020 - Present · 6 yrs 9 mos
LPL Financial LLCBroker
January 2020 - Present · 6 yrs 9 mos
Previous Registrations
Securities America Advisors, INC.
May 2018 - January 2020 · 1 yr 8 mos
Securities America, INC.Broker
May 2018 - January 2020 · 1 yr 8 mos
LPL Financial LLC
June 2013 - June 2018 · 5 yrs
LPL Financial LLCBroker
June 2013 - June 2018 · 5 yrs
Royal Alliance Associates, INC.
September 2011 - June 2013 · 1 yr 9 mos
Royal Alliance Associates, INC.Broker
September 2011 - June 2013 · 1 yr 9 mos
Edward JonesBroker
April 2010 - September 2011 · 1 yr 5 mos
Edward Jones
April 2010 - September 2011 · 1 yr 5 mos
TD Wealth Management Services INC.
November 2009 - March 2010 · 4 mos
TD Wealth Management Services INC.Broker
November 2009 - March 2010 · 4 mos
Primevest Financial Services, INC.
March 2008 - November 2009 · 1 yr 8 mos
Bancnorth Investment Group, INC.Broker
January 2005 - November 2009 · 4 yrs 10 mos
Primevest Financial Services, INC.Broker
September 2003 - January 2005 · 1 yr 4 mos
CUNA Brokerage Services, INC.Broker
August 1995 - September 2003 · 8 yrs 1 mo
Linsco/private Ledger CORP.Broker
October 1994 - August 1995 · 10 mos
Equity Services, INC.Broker
January 1992 - October 1994 · 2 yrs 9 mos
State Registrations12 states
CAFLHIMTNCNYORSCUTVAVTWA
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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