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Neil Pettes

LPL Financial LLC
31 Years of Experience
Sewickley, PA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Neil Pettes is a registered investment advisor at LPL Financial LLC, based in Sewickley, PA, with 31 years of industry experience. Neil 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
28221 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
—
View Full SEC Brochure

Location

1606 Carmody Ct Ste 203, Blaymore I, Sewickley, PA, 15143

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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.
Criminal
February 1993
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Neil operates under the DBAs "Individual Financial Services" and "IFS Wealth Management, LLC" for his LPL business. He is also an agent selling various insurance products including life, disability, long-term care, and fixed annuities, dedicating a few hours per week to this. Neil also works as a notary, spending minimal time on it.

Employment History
Current Registrations
LPL Financial LLCBroker
May 2023 - Present · 3 yrs 5 mos
LPL Financial LLC
May 2023 - Present · 3 yrs 5 mos
Previous Registrations
Cambridge Investment Research, INC.Broker
January 2022 - May 2023 · 1 yr 4 mos
Cambridge Investment Research Advisors, INC.
January 2022 - May 2023 · 1 yr 4 mos
Raymond James Financial Services Advisors, INC
August 2015 - February 2022 · 6 yrs 6 mos
Raymond James Financial Services, INC.Broker
August 2015 - February 2022 · 6 yrs 6 mos
LPL Financial LLC
November 2008 - August 2015 · 6 yrs 9 mos
LPL Financial LLCBroker
November 2008 - August 2015 · 6 yrs 9 mos
Fsc Securities Corporation
September 2005 - November 2008 · 3 yrs 2 mos
Individual Financial Services, INC.
November 1996 - April 2020 · 23 yrs 5 mos
Fsc Securities CorporationBroker
July 1995 - November 2008 · 13 yrs 4 mos
State Registrations28 states
ALARAZCACOCTDCFLGAIDKYMAMDMEMIMNMOMSNCNENYOHPARISCTXVAWV
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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Neil Pettes - Financial Advisor | TrueAdvisor