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ChFC
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ChFC

Sheldon Walker

LPL Financial LLC
30 Years of Experience
Rochester, NY
BrokerSells Insurance
View SEC Summary
View SEC Summary

Sheldon Walker is a ChFC-designated registered investment advisor at LPL Financial LLC, based in Rochester, NY, with 30 years of industry experience. Sheldon 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

2480 Ridgeway Avenue, Rochester, NY, 14626

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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 ActivitiesSells Insurance

Sheldon is associated with ESL Investment Services, LLC as a DBA for LP Business since 2015. He also sells non-variable insurance products including life, disability, and long-term care, dedicating about 10-20% of his time to this activity.

Employment History
Current Registrations
LPL Financial LLC
August 2021 - Present · 5 yrs 2 mos
Esl Investment Services, LLC
October 2015 - Present · 11 yrs
Esl Investment Services, LLCBroker
October 2015 - Present · 11 yrs
LPL Financial LLC
September 2015 - Present · 11 yrs 1 mo
LPL Financial LLCBroker
September 2015 - Present · 11 yrs 1 mo
Previous Registrations
Signator Investors, INC.Broker
March 2011 - October 2015 · 4 yrs 7 mos
Oppenheimerfunds Distributor, INC.Broker
January 2001 - March 2009 · 8 yrs 2 mos
H&r Block Financial Advisors, INC.Broker
August 2000 - December 2000 · 4 mos
Waddell & Reed, INC.Broker
April 1999 - May 2000 · 1 yr 1 mo
Key Investments INC.Broker
September 1995 - February 1999 · 3 yrs 5 mos
Equico Securities, INC.Broker
March 1994 - August 1995 · 1 yr 5 mos
The Equitable Life Assurance Society of the United StatesBroker
March 1994 - August 1995 · 1 yr 5 mos
State Registrations8 states
FLGAMDNCNYSCTXVA
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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