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Deborah Krumwiede

LPL Financial LLC
31 Years of Experience
San Jose, CA
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Deborah Krumwiede is a registered investment advisor at LPL Financial LLC, based in San Jose, CA, with 31 years of industry experience. Deborah 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

2010 N First Street, Suite 500, San Jose, CA, 95131

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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
February 2016
Denied
Customer Dispute
December 2008
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Deborah owns rental real estate in Denver, CO, dedicating minimal time to it. She also manages technology investments as a DBA for her LPL business, spending about a quarter of her time on this activity.

Employment History
Current Registrations
LPL Financial LLC
September 2019 - Present · 7 yrs 1 mo
LPL Financial LLC
September 2019 - Present · 7 yrs 1 mo
LPL Financial LLCBroker
September 2019 - Present · 7 yrs 1 mo
Previous Registrations
Cetera Investment Advisers LLC
January 2014 - September 2019 · 5 yrs 8 mos
Cetera Investment Services LLC
December 2010 - January 2014 · 3 yrs 1 mo
Cetera Investment Services LLCBroker
November 2010 - September 2019 · 8 yrs 10 mos
Cuso Financial Services, L.P.
September 2010 - December 2010 · 3 mos
Cuso Financial Services, L.P.Broker
August 2010 - December 2010 · 4 mos
LPL Financial CorporationBroker
September 2008 - August 2010 · 1 yr 11 mos
LPL Financial Corporation
September 2008 - August 2010 · 1 yr 11 mos
Wescom Financial Services, LLC
March 2006 - August 2008 · 2 yrs 5 mos
Wescom Financial ServicesBroker
January 2005 - August 2008 · 3 yrs 7 mos
Atlas Securities, INC.Broker
March 2004 - January 2005 · 10 mos
Lincoln Financial Advisors CorporationBroker
October 2002 - April 2003 · 6 mos
Lincoln Financial Advisors Corporation
October 2002 - April 2003 · 6 mos
The Lincoln National Life Insurance CompanyBroker
October 2002 - April 2003 · 6 mos
CUNA Brokerage Services, INC.Broker
October 1993 - April 2001 · 7 yrs 6 mos
Pruco Securities CorporationBroker
February 1992 - September 1992 · 7 mos
The Prudential Insurance Company of AmericaBroker
February 1992 - September 1992 · 7 mos
State Registrations18 states
AZCACOFLIAIDILMAMDNCNVNYOHORPATXUTWA
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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