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CFP
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CFP

Jeffrey Prince

LPL Financial LLC
32 Years of Experience
Westlake Village, CA
4 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Jeffrey Prince is a CFP-designated registered investment advisor at LPL Financial LLC, based in Westlake Village, CA, with 32 years of industry experience. Jeffrey 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

31225 La Baya Dr Ste 202, Westlake Village, CA, 91362

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History

Regulatory History (4)
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.
Regulatory
December 2023
Final
Regulatory
April 2023
Final
Regulatory
March 2023
Final
Employment Separation After Allegations
November 2020
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Jeffrey operates under several DBAs for his LPL business, including Prince Private Wealth, PBC Private Wealth, and Orion Capital, dedicating full-time hours to these activities. He also has business entities for tax/investment purposes, real estate rental holdings, and is associated with non-variable insurance as a financial advisor.

Employment History
Current Registrations
LPL Financial LLC
November 2020 - Present · 5 yrs 11 mos
LPL Financial LLCBroker
November 2020 - Present · 5 yrs 11 mos
Previous Registrations
Morgan StanleyBroker
June 2009 - November 2020 · 11 yrs 5 mos
Morgan Stanley
June 2009 - November 2020 · 11 yrs 5 mos
Citigroup Global Markets INC.Broker
May 2006 - June 2009 · 3 yrs 1 mo
Citigroup Global Markets INC.
May 2006 - June 2009 · 3 yrs 1 mo
Morgan Stanley
July 1999 - June 2006 · 6 yrs 11 mos
Morgan Stanley Dw INC.Broker
August 1998 - June 2006 · 7 yrs 10 mos
Cibc Oppenheimer CORP.Broker
March 1998 - August 1998 · 5 mos
Biltmore Securities, INCBroker
April 1997 - February 1998 · 10 mos
Murphey, Marseilles, Smith & Nammack, INC.Broker
March 1997 - April 1997 · 1 mo
PFS Investments INC.Broker
February 1994 - December 1996 · 2 yrs 10 mos
State Registrations34 states
AZCACOCTFLGAHIIDILINKSKYMIMNMSNCNHNJNMNVNYOHOKORPASCSDTNTXUTVAWAWIWY
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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