John Clifford
John Clifford is a registered investment advisor at LPL Financial LLC, based in New York, NY, 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
1177 Avenue of the Americas, Ste 5133, New York, NY, 10036
Get directionsHistory
Regulatory History (3)
Customer Dispute
September 2009Customer Dispute
January 2002Customer Dispute
March 2000Other Business Activities
John operates his LPL business under the DBAs Walnut Beech Advisors and Encompass Financial Partners, dedicating all of his time to these activities. He also has a business entity, My Own Way Capital Inc., for tax/investment purposes, requiring minimal time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Clearing Services, LLC
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Citigroup Global Markets INC.Broker
Dean Witter Reynolds INC.Broker
State Registrations20 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.