John Osterberg
John Osterberg is a registered investment advisor at LPL Financial LLC, based in Charlotte, NC, 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
3530 Toringdon Way, Suite 108, Charlotte, NC, 28277
Get directionsHistory
Regulatory History (2)
Customer Dispute
August 2008Customer Dispute
December 1999Other 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
Independent Advisor Alliance, LLC
Previous Registrations
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Summit Financial Services Group, INC.Broker
Citicorp Investment ServicesBroker
State Registrations16 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.