Neil Pettes
Neil Pettes is a registered investment advisor at LPL Financial LLC, based in San Diego, CA, with 30 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
4707 Executive Dr, San Diego, CA, 92121-3091
Get directionsHistory
Regulatory History (1)
Criminal
February 1993Other 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 LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cambridge Investment Research Advisors, INC.
Cambridge Investment Research, INC.Broker
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
LPL Financial LLC
LPL Financial LLCBroker
Fsc Securities Corporation
Individual Financial Services, INC.
Fsc Securities CorporationBroker
State Registrations28 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.