SP
SP
Sarah Puckett is a registered investment advisor at LPL Financial LLC, based in Leander, TX, 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
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B
Fee Structure
Minimum Investment:$1K
Investment management only (planning not offered)
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.
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Location
Leander, TX
Get directionsHistory
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 2003Denied
Employment History
Current Registrations
LPL Financial LLC
October 2016 - Present · 9 yrs 7 mos
LPL Financial LLCBroker
December 2011 - Present · 14 yrs 5 mos
LPL Financial LLC
December 2011 - Present · 14 yrs 5 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, LLCBroker
July 2003 - December 2011 · 8 yrs 5 mos
Wells Fargo Advisors, LLC
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.