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Sarah Puckett

LPL Financial LLC
32 Years of Experience
Leander, TX
1 DisclosureBroker
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Sarah Puckett is a registered investment advisor at LPL Financial LLC, based in Leander, TX, with 32 years of industry experience. Sarah 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
28129 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

Leander, TX

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2003
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
October 2016 - Present · 10 yrs
LPL Financial LLC
December 2011 - Present · 14 yrs 10 mos
LPL Financial LLCBroker
December 2011 - Present · 14 yrs 10 mos
Previous Registrations
Independent Financial Partners
October 2014 - November 2016 · 2 yrs 1 mo
LPL Financial LLC
December 2011 - October 2015 · 3 yrs 10 mos
Wells Fargo Advisors, LLC
July 2003 - December 2011 · 8 yrs 5 mos
Wells Fargo Advisors, LLCBroker
July 2003 - December 2011 · 8 yrs 5 mos
Prudential Securities Incorporated
May 1994 - July 2003 · 9 yrs 2 mos
Prudential Securities IncorporatedBroker
May 1994 - July 2003 · 9 yrs 2 mos
State Registrations1 state
TX
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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