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JD
JD

John Dorn

LPL Financial LLC
21 Years of Experience
Geneva, IL
Broker
View SEC Summary
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John Dorn is a registered investment advisor at LPL Financial LLC, based in Geneva, IL, with 21 years of industry experience. John 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

10 N. Third Street, Geneva, IL, 60134

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History

Regulatory History
Clean regulatory record

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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Other Business Activities

John operates under DBAs for his LPL business: The Retirement Network and Leelyn Smith. He also provides investment advisory services through The Retirement Network and Leelyn Smith LLC, spending full-time on The Retirement Network and about 70% of his time on Leelyn Smith LLC.

Employment History
Current Registrations
LPL Financial LLCBroker
November 2017 - Present · 8 yrs 11 mos
Leelyn Smith, LLC
July 2017 - Present · 9 yrs 3 mos
Previous Registrations
LPL Financial LLC
November 2017 - August 2018 · 9 mos
National Planning Corporation ("npc of America" in Fl & Ny)
December 2013 - November 2017 · 3 yrs 11 mos
National Planning CorporationBroker
November 2012 - November 2017 · 5 yrs
Northern Lights Distributors, LLCBroker
October 2006 - October 2012 · 6 yrs
Rydex Distributors, INC.Broker
March 2005 - May 2006 · 1 yr 2 mos
State Registrations3 states
ILOHVA
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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