John Tauer is a registered investment advisor at LPL Financial LLC, based in Tempe, AZ, 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
4500 S. Lakeshore Dr., Ste 580, Tempe, AZ, 85282
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Regulatory History (1)
Customer Dispute
April 2002Other Business Activities
John is a part-time musician/performer since 2014, dedicating a few hours per week. He also operates under the DBAs Tauer Financial Services and Momentum Wealth Partners for his LPL business, dedicating full-time hours to these activities.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLC
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Brokerage Services, L.L.C.Broker
Wells Fargo Investments, LLCBroker
Wells Fargo Securities INC.Broker
Wells Fargo Brokerage Services, L.L.C.Broker
Norwest Investment Services, INC.Broker
Aag Securities, INC.Broker
Aegon USA Securities INC.Broker
Pruco Securities CorporationBroker
State Registrations20 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.