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John Osterberg

LPL Financial LLC
32 Years of Experience
Charlotte, NC
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

John Osterberg is a registered investment advisor at LPL Financial LLC, based in Charlotte, NC, with 32 years of industry experience. John 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

3530 Toringdon Way, Suite 108, Charlotte, NC, 28277

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History

Regulatory History (2)
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.
Customer Dispute
August 2008
Settled
Customer Dispute
December 1999
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

John operates under the DBAs Charlotte Wealth Advisors and Independent Advisor Alliance, which are investment-related. He also engages in non-variable insurance activities, dedicating minimal time to it.

Employment History
Current Registrations
LPL Financial LLCBroker
April 2016 - Present · 10 yrs 6 mos
Independent Advisor Alliance, LLC
April 2016 - Present · 10 yrs 6 mos
Previous Registrations
Ameriprise Financial Services, INC.
March 2009 - April 2016 · 7 yrs 1 mo
Ameriprise Financial Services, INC.Broker
March 2009 - April 2016 · 7 yrs 1 mo
Wachovia Securities, LLC
January 2004 - March 2009 · 5 yrs 2 mos
Wachovia Securities, LLCBroker
January 2001 - March 2009 · 8 yrs 2 mos
Summit Financial Services Group, INC.Broker
April 2000 - January 2001 · 9 mos
Citicorp Investment ServicesBroker
February 1994 - December 1999 · 5 yrs 10 mos
State Registrations17 states
ALCACODEFLGAINMDNCNJNYOHPARISCTXVA
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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