Catherine Genty is a registered investment advisor at LPL Financial LLC, based in Tucker, GA, with 30 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
3824 Lavista Rd, Tucker, GA, 30084
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Regulatory History
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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Catherine has DBAs for her LPL business, Members Financial Services since 2022 and CUGA Financial Services since 2023. She dedicates minimal time to CUGA Financial Services during trading hours.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
CUNA Brokerage Services, INC.
CUNA Brokerage Services, INC.Broker
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
E*trade Capital Management, LLC
E*trade Securities LLCBroker
AXA Advisors, LLC
AXA Advisors, LLCBroker
Suntrust Investment Services, INC.Broker
Suntrust Investment Services, INC.
New England Securities Corporation
New England SecuritiesBroker
AXA Advisors, LLC
AXA Advisors, LLCBroker
AXA Advisors, LLCBroker
The Equitable Life Assurance Society of the United StatesBroker
State Registrations11 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.