Mark Emberton is a registered investment advisor at LPL Enterprise, LLC, based in Phoenix, AZ, with 27 years of industry experience. Mark operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
2325 East Camelback Road, Suite 100, Phoenix, AZ, 85016
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Mark is an active Notary Public in Phoenix, AZ since 2016. This activity is not investment-related and requires minimal time.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Creativeone Securities, LLC
Creativeone Securities, LLCBroker
Berthel, Fisher & Company Financial Services, INC.Broker
Berthel Fisher & Company Financial Services, INC.
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Uvest Financial Services Group, INC.
Uvest Financial Services Group, INC.Broker
Zions Investment Securities, INC.Broker
Wells Fargo Brokerage Services, L.L.C.Broker
Wells Fargo Investments, LLCBroker
Wells Fargo Securities INC.Broker
Wells Fargo Brokerage Services, L.L.C.Broker
Raymond James Financial Services, INC.Broker
Round Hill Securities, INC.Broker
Baraban Securities, INC.Broker
State Registrations3 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.