Niels Ewing is a registered investment advisor at LPL Financial LLC, based in Louisville, KY, 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
4350 Brownsboro Rd Ste 110, Louisville, KY, 40207
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Regulatory History (1)
Customer Dispute
March 2009Other Business Activities
Niels operates under the DBA Ewing Financial Group since 2003.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
First Union Capital Markets CORP.Broker
J.C. Bradford & CO.Broker
J.J.B. Hilliard, W.L. Lyons, INC.Broker
State Registrations13 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.