Shawna Waldman is a registered investment advisor at LPL Financial LLC, based in Eugene, OR, with 30 years of industry experience. Shawna 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
Eugene, OR
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Regulatory History (1)
Customer Dispute
August 2002Other Business Activities
Shawna is involved with the Southern Nevada Public Television Planned Giving Council, dedicating minimal time per month. She also operates SWiFT Financial Management as a DBA for her LPL business and has a business entity named Hammurabi for tax/investment purposes, both requiring minimal time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
A. G. Edwards & Sons, INC.Broker
State Registrations13 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.
Exams
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