Peter Keating is a registered investment advisor at LPL Financial LLC, based in Novato, CA, with 55 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
Novato, CA
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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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Peter is a trustee for his brother's investment-related trust, Keating Marital Trust, since 2001. This requires minimal time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Western International Securities
Western International Securities, INC.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Morgan StanleyBroker
Citigroup Global Markets INC.Broker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Paine, Webber, Jackson & Curtis IncorporatedBroker
Blyth Eastman Dillon & CO. IncorporatedBroker
Eastman Dillon, Union Securities & CO., IncorporatedBroker
International Planning CompanyBroker
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.