Douglas Caesare is a registered investment advisor at LPL Financial LLC, based in Santa Rosa, 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
Santa Rosa, CA
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Regulatory History
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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Douglas is a non-profit board member for Santa Rosa Memorial Park (since 2014), Independent Order of Odd Fellows (since 2018), and Santa Rosa Mortuary/Eggen and Lance Chapel (since 2017). These activities are not investment-related.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Grove Point Investments, LLCBroker
Grove Point Advisors, LLC
LPL Financial LLCBroker
LPL Financial LLC
Sorrento Pacific Financial, LLCBroker
Sorrento Pacific Financial, LLC
LPL Financial LLC
LPL Financial LLCBroker
Ifmg Securities, INC.
Ifmg Securities, INC.Broker
Raymond James Financial Services, INC.Broker
Foothill Securities, INC.Broker
Foothill Securities, INC.
Morgan Stanley
Morgan Stanley Dw INC.Broker
A. G. Edwards & Sons, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Everen Securities, INC.Broker
Charles Schwab & CO., INC.Broker
Smith Barney INC.Broker
State Registrations8 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.