Niki Canotas is a registered investment advisor at LPL Financial LLC, based in Campbell, CA, 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
Campbell, CA
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Niki is involved in several business activities, including direct sales for Prepaid Legal since 2010, coaching and marketing to small businesses through Mobius, and operating Sequoia Wealth Advisors & Investment Management, Inc. as a DBA for her LPL business. She also co-owns Mike & Niki's Honey Company and is involved in real estate rental through Madeira Beach Development Group LLC.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Sequoia Wealth Advisors & Investment Management, INC.
Associated Planners Investment Advisory INC
Associated Securities CORP.
Associated Securities CORP.Broker
Capital Choice Investment Advisers, INC.
C C F Investments, INC.Broker
PFS Investments INC.Broker
State Registrations2 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.