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CFP
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CFP

Harry Stumpf

LPL Financial LLC
30 Years of Experience
New Orleans, LA
1 DisclosureBroker
View SEC Summary
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Harry Stumpf is a CFP-designated registered investment advisor at LPL Financial LLC, based in New Orleans, LA, with 30 years of industry experience. Harry 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

1100 Poydras St, Suite 2900, New Orleans, LA, 70163

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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.
Customer Dispute
September 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Harry operates under the DBA Clancy Stumpf & Company in New Orleans, LA, since 2009.

Employment History
Current Registrations
LPL Financial LLC
April 2009 - Present · 17 yrs 6 mos
LPL Financial LLCBroker
April 2009 - Present · 17 yrs 6 mos
Previous Registrations
Citigroup Global Markets INC.Broker
February 2006 - May 2009 · 3 yrs 3 mos
Legg Mason Wood Walker, IncorporatedBroker
February 1996 - February 2006 · 10 yrs
Olde Discount CorporationBroker
September 1995 - January 1996 · 4 mos
State Registrations4 states
ALFLLANC
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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