Cynthia Moore
Cynthia Moore is a registered investment advisor at LPL Financial LLC, based in Novato, 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
Novato, CA
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Regulatory History (1)
Customer Dispute
November 2008Other Business ActivitiesSells Insurance
Cynthia is a statutory agent for a sole proprietorship, spending minimal time offering quotes for long-term care, life, and disability insurance. She also works as an Investment Advisory Associate at NWF Advisory Services, dedicating about half her time to providing financial planning and investment management advice.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Osaic Wealth, INC.
Nwf Advisory Services INC
Osaic Wealth, INC.Broker
Protected Investors of America
Protected Investors of AmericaBroker
State Registrations12 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.