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William Grafton

LPL Financial LLC
53 Years of Experience
Winter Park, FL
3 DisclosuresBroker
View SEC Summary
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William Grafton is a registered investment advisor at LPL Financial LLC, based in Winter Park, FL, with 53 years of industry experience. William 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

1270 Orange Ave, Ste A, Winter Park, FL, 32789

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History

Regulatory History (3)
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 2008
Denied
Customer Dispute
August 2005
Denied
Customer Dispute
February 2005
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

William spends full-time on Grafton Wealth Advisors, a DBA for his LPL business. He also owns rental real estate, dedicating 100% of his time to it, which seems contradictory to the first activity.

Employment History
Current Registrations
LPL Financial LLC
March 2024 - Present · 2 yrs 7 mos
LPL Financial LLCBroker
March 2024 - Present · 2 yrs 7 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2007 - March 2024 · 16 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
October 2007 - March 2024 · 16 yrs 5 mos
Wachovia Securities, LLCBroker
July 2003 - October 2007 · 4 yrs 3 mos
Wachovia Securities, LLC
July 2003 - October 2007 · 4 yrs 3 mos
Prudential Securities Incorporated
August 1999 - July 2003 · 3 yrs 11 mos
Prudential Securities IncorporatedBroker
August 1999 - July 2003 · 3 yrs 11 mos
Dean Witter Reynolds INC.Broker
March 1987 - September 1999 · 12 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 1978 - March 1987 · 8 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
March 1974 - September 1978 · 4 yrs 6 mos
Dupont Walston, IncorporatedBroker
July 1973 - March 1974 · 8 mos
Dupont Glore Forgan INCBroker
January 1973 - July 1973 · 6 mos
State Registrations38 states
ALARAZCACOCTDCDEFLGAHIIAIDILINKSKYMAMDMEMINCNHNJNYOHOKORPAPRRISCTNTXUTVAWAWI
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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