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Phillip Vance

LPL Financial LLC
33 Years of Experience
Buffalo, NY
Broker
View SEC Summary
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Phillip Vance is a registered investment advisor at LPL Financial LLC, based in Buffalo, NY, with 33 years of industry experience. Phillip 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
28129 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
—
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Location

360 Delaware Avenue, Suite 400, Buffalo, NY, 14202

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History

Regulatory History
Clean regulatory record

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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Other Business Activities

Phillip provides investment advisory services through Sterling Investment Counsel LLC, dedicating about 10-20% of his time. He is also involved with Specific Solutions, Inc. and Jensen, Marks, Langer & Vance LLC, spending about a quarter of his time on the latter.

Employment History
Current Registrations
LPL Financial LLCBroker
February 2018 - Present · 8 yrs 8 mos
Sterling Investment Counsel, LLC
June 2016 - Present · 10 yrs 4 mos
Previous Registrations
LPL Financial LLC
February 2018 - April 2018 · 2 mos
Sii Investments, INC.
November 2007 - February 2018 · 10 yrs 3 mos
Sii Investments, INC.Broker
November 2007 - February 2018 · 10 yrs 3 mos
1717 Capital Management Company
July 2004 - November 2007 · 3 yrs 4 mos
1717 Capital Management CompanyBroker
July 1993 - November 2007 · 14 yrs 4 mos
State Registrations20 states
AZCACODEFLGAILMAMDMTNCNMNVNYOHPARISCTNTX
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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