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CFP
LW
CFP

Louis Windawi

LPL Financial LLC
34 Years of Experience
Tustin, CA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Louis Windawi is a CFP-designated registered investment advisor at LPL Financial LLC, based in Tustin, CA, with 34 years of industry experience. Louis 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

1422 Edinger Ave, Ste 220, Tustin, CA, 92780

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Louis owns rental real estate in Long Beach, CA, and operates under the DBA Windawi & Associates, Inc. He also sells non-variable insurance, including long-term care and health insurance, dedicating minimal time to each activity.

Employment History
Current Registrations
LPL Financial LLCBroker
August 2007 - Present · 19 yrs 2 mos
LPL Financial LLC
August 2007 - Present · 19 yrs 2 mos
Previous Registrations
Ameriprise Financial Services, INC.
December 1997 - August 2007 · 9 yrs 8 mos
Ameriprise Financial Services, INC.Broker
June 1993 - August 2007 · 14 yrs 2 mos
Ids Life Insurance CompanyBroker
June 1993 - July 2006 · 13 yrs 1 mo
Waddell & Reed, INC.Broker
March 1992 - June 1993 · 1 yr 3 mos
State Registrations17 states
AKAZCACODEFLINLAMOMSMTNCNVNYOHTXWY
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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