Dennis Kaffel is a registered investment advisor at LPL Financial LLC, based in Massapequa, NY, with 56 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
Massapequa, NY
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Learn about disclosures →Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Western International Securities
Western International Securities, INC.Broker
Brill Securities, INC.Broker
Bear, Stearns & CO. INC.Broker
Josephthal Lyon & Ross IncorporatedBroker
Josephthal & CO., INC.Broker
Gruntal & CO. IncorporatedBroker
L. F. Rothschild & CO. IncorporatedBroker
Bear, Stearns & CO.Broker
Merril Lynch Pierce Finner & SmithBroker
Smith Barney, Harris Upham & CO., IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith, INC.Broker
State Registrations19 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.