Morgan Baum
Morgan Baum is a registered investment advisor at LPL Financial LLC, based in Las Vegas, NV, 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
Las Vegas, NV
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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
Morgan operates Morgan Baum Wealth Management as a DBA for LPL business, dedicating about a quarter of their time. Morgan is also an insurance agent selling non-variable insurance, spending minimal time on this activity, and a financial advisor and team member at Dixon Financial Group, another DBA for LPL, spending about a quarter of their time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Prudential Securities IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Ba Investment Services, INC.Broker
Smith Barney INC.Broker
State Registrations22 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.