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Charles Plog

LPL Financial LLC
34 Years of Experience
Folsom, CA
1 DisclosureBroker
View SEC Summary
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Charles Plog is a registered investment advisor at LPL Financial LLC, based in Folsom, CA, with 34 years of industry experience. Charles 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
—
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Location

1130 Iron Point Rd Ste 135, Folsom, CA, 95630

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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
May 1994
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
June 2002 - Present · 24 yrs 4 mos
LPL Financial LLCBroker
June 2002 - Present · 24 yrs 4 mos
Previous Registrations
Prudential Securities Incorporated
June 2000 - June 2002 · 2 yrs
Prudential Securities IncorporatedBroker
March 2000 - June 2002 · 2 yrs 3 mos
First Union Securities, INC.Broker
April 1994 - March 2000 · 5 yrs 11 mos
Prudential Securities IncorporatedBroker
October 1991 - April 1994 · 2 yrs 6 mos
State Registrations6 states
AKCAIDNVORTX
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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