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Patrick Naughton

LPL Financial LLC
34 Years of Experience
Waterbury, CT
2 DisclosuresBroker
View SEC Summary
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Patrick Naughton is a registered investment advisor at LPL Financial LLC, based in Waterbury, CT, with 34 years of industry experience. Patrick 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

364 Reidville Dr, Waterbury, CT, 06705

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History

Regulatory History (2)
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 2020
Settled
Customer Dispute
May 2008
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Patrick operates under two DBAs, Webster Investment Services, Inc. and Webster Investments, both related to his LPL business. These activities are investment-related.

Employment History
Current Registrations
LPL Financial LLCBroker
October 2011 - Present · 15 yrs
LPL Financial LLC
October 2011 - Present · 15 yrs
Previous Registrations
Uvest Financial Services Group, INC.Broker
February 2007 - October 2011 · 4 yrs 8 mos
Uvest Financial Services Group, INC.
February 2007 - October 2011 · 4 yrs 8 mos
Webster Investment Services, INC
November 2000 - February 2007 · 6 yrs 3 mos
Webster Investment Services, INC.Broker
July 1999 - February 2007 · 7 yrs 7 mos
Liberty Securities CorporationBroker
May 1995 - July 1999 · 4 yrs 2 mos
Metlife Securities INC.Broker
October 1991 - May 1995 · 3 yrs 7 mos
Metropolitan Life Insurance CompanyBroker
October 1991 - May 1995 · 3 yrs 7 mos
State Registrations25 states
AZCACOCTDCFLGAHILAMAMDMENCNJNVNYOHPARISCTNTXVAVTWA
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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