John Keating
John Keating is a registered investment advisor at LPL Financial LLC, based in Watersound, FL, 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
Watersound, FL
Get directionsHistory
Regulatory History (4)
Regulatory
September 2011Employment Separation After Allegations
July 2011Customer Dispute
November 2008Criminal
April 1992Other Business ActivitiesSells Insurance
John operates Bay Financial Associates, LLC and Keating Wealth Management as DBAs for his LPL business. He also sells non-variable insurance, dedicating full-time hours to this activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Moors & Cabot, INC
Moors & Cabot, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
RBC Dain Rauscher INC.
RBC Dain Rauscher INC.Broker
Salomon Smith Barney INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
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.