Jeffrey Prince
Jeffrey Prince is a CFP-designated registered investment advisor at LPL Financial LLC, based in Westlake Village, CA, with 31 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
31225 La Baya Dr Ste 202, Westlake Village, CA, 91362
Get directionsHistory
Regulatory History (4)
Regulatory
December 2023Regulatory
April 2023Regulatory
March 2023Employment Separation After Allegations
November 2020Other 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
LPL Financial LLCBroker
Previous Registrations
Morgan StanleyBroker
Morgan Stanley
Citigroup Global Markets INC.Broker
Citigroup Global Markets INC.
Morgan Stanley
Morgan Stanley Dw INC.Broker
Cibc Oppenheimer CORP.Broker
Biltmore Securities, INCBroker
Murphey, Marseilles, Smith & Nammack, INC.Broker
PFS Investments INC.Broker
State Registrations34 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.