TrueAdvisor
TrueAdvisor
DW
DW

Debora Wood

LPL Financial LLC
32 Years of Experience
Tucson, AZ
1 DisclosureBroker
View SEC Summary
View SEC Summary

Debora Wood is a registered investment advisor at LPL Financial LLC, based in Tucson, AZ, with 32 years of industry experience. Debora 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

Tucson, AZ

Get directions

History

Regulatory History (1)
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.
Criminal
May 1975
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Debora owns a single-family home rental property since 2013, dedicating minimal time to it. She also operates Affinity Wealth Management as a DBA for her LPL business, spending nearly full-time hours on it.

Employment History
Current Registrations
LPL Financial LLCBroker
April 2009 - Present · 17 yrs 6 mos
LPL Financial LLC
April 2009 - Present · 17 yrs 6 mos
Previous Registrations
Morgan Stanley & CO. Incorporated
March 2009 - April 2009 · 1 mo
Morgan Stanley & CO. IncorporatedBroker
April 2007 - April 2009 · 2 yrs
Morgan Stanley Dw INC.Broker
September 2005 - April 2007 · 1 yr 7 mos
Morgan Stanley
November 2002 - December 2004 · 2 yrs 1 mo
Morgan Stanley Dw INC.Broker
May 1997 - August 2005 · 8 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1994 - May 1997 · 3 yrs 4 mos
State Registrations20 states
AZCACODEFLGAILKYMAMSMTNCNHNMNVTNTXUTVAWA
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.
More Advisors
More financial advisors in Tucson, AZ →All financial advisors in Arizona →