Cynthia Bergel is a registered investment advisor at LPL Financial LLC, based in Houston, TX, with 32 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Houston, TX
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Cynthia operates under the DBAs Montis Financial Services and Montis Financial LLC for her LPL business, dedicating full-time hours to securities trading. She also engages in teleprompter/makeup services, owns a handmade jewelry business, and creates embroidery designs, each requiring minimal time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Block Trading INC.Broker
Van Kampen American Capital Distributors, INC.Broker
American Capital Marketing, INC.Broker
State Registrations5 states
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.