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CFP

Craig Freund

LPL Financial LLC
32 Years of Experience
Cape Coral, FL
Broker
View SEC Summary
View SEC Summary

Craig Freund is a CFP-designated registered investment advisor at LPL Financial LLC, based in Cape Coral, FL, with 32 years of industry experience. Craig 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
—
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Location

Cape Coral, FL

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Craig operates his LPL business through Upstream Investment Partners and Upstream Financial Partners, dedicating full-time hours to the latter. He also has several real estate rental properties and business interests, including Open Ocean Charters and Akamai 5280 Tax Professionals LLC, but spends minimal or no time on these other ventures.

Employment History
Current Registrations
LPL Financial LLCBroker
April 2023 - Present · 3 yrs 6 mos
LPL Financial LLC
April 2023 - Present · 3 yrs 6 mos
Previous Registrations
Spc
January 2010 - April 2023 · 13 yrs 3 mos
Sigma Financial CorporationBroker
January 2010 - April 2023 · 13 yrs 3 mos
Financial Network Investment CorporationBroker
May 2009 - December 2009 · 7 mos
Ameriprise Advisor Services, INC.
June 2003 - March 2009 · 5 yrs 9 mos
Rsm Mcgladrey, INC.
March 2003 - July 2003 · 4 mos
Ameriprise Advisor Services, INC.Broker
April 1994 - March 2009 · 14 yrs 11 mos
State Registrations51 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
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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