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Graham Green

LPL Financial LLC
33 Years of Experience
San Francisco, CA
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Graham Green is a registered investment advisor at LPL Financial LLC, based in San Francisco, CA, with 33 years of industry experience. Graham 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

48 Gold St # 3, 3rd Floor, San Francisco, CA, 94133

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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
January 2018
Denied
Employment Separation After Allegations
April 2010
Customer Dispute
April 2003
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Graham sells health insurance, dedicating about 10% of his time to this activity. He also owns several real estate rental properties and acts as a trustee for his company's profit sharing plan, dedicating minimal time to each of these activities. Graham also dedicates a significant amount of time to Jackson Square Financial and related insurance agencies, selling and servicing group benefits and individual life, LTC, LTD and health insurance.

Employment History
Current Registrations
LPL Financial LLC
May 2010 - Present · 16 yrs 5 mos
LPL Financial LLCBroker
April 2010 - Present · 16 yrs 6 mos
Previous Registrations
Northwestern Mutual Investment Services,llc
February 2009 - May 2010 · 1 yr 3 mos
Northwestern Mutual Investment Services, LLCBroker
May 1993 - May 2010 · 17 yrs
Robert W. Baird & CO. IncorporatedBroker
May 1993 - January 2002 · 8 yrs 8 mos
State Registrations36 states
ALAZCACOCTDCDEFLGAHIIAIDILINLAMAMEMIMNMOMTNCNENHNJNMNVNYORPASCTNTXUTWAWY
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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