Kathleen Futey is a registered investment advisor at LPL Financial LLC, based in Aurora, OH, 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
Aurora, OH
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Kathleen is a partner in Sonkin Cellars, a wine making business, dedicating minimal time. She is also involved with Leopold Advisors, an entity for tax/investment purposes and a DBA for her LPL business, spending about 10% of her time on the former and about a quarter of her time on the latter.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Stratos Wealth Partners, LTD
Morgan Stanley Smith BarneyBroker
Morgan Stanley Smith Barney LLC
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Four Seasons Securities, INC.Broker
Wheeler Securities, INC.Broker
PFS Investments INC.Broker
State Registrations6 states
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