Paul Walters
Paul Walters is a CFP-designated registered investment advisor at LPL Financial LLC, based in Rancho Santa Margarita, CA, 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
Rancho Santa Margarita, CA
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Paul works as a paralegal for Citadel Law Firm, dedicating minimal time. He is also an agent selling life insurance and owns rental real estate, spending minimal time on each. Finally, Paul referees high school football games for the Orange County Football Officials Association, spending a few hours per week.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Sunamerica Securities, INC.Broker
State Registrations5 states
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