LZ
LZ
Lucas Zandt is a registered investment advisor at LPL Financial LLC, based in Berlin, CT, with 29 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
27420 advisors
Number of Clients
1,676,192 clients
Average Client Portfolio
$369K average
Assets Under Management
$618.9B
Fee Structure
Minimum Investment:$1K
Investment management only (planning not offered)
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.
Loading...
Location
Berlin, CT
Get directionsHistory
Regulatory History (4)
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.
Employment Separation After Allegations
May 2009Customer Dispute
February 2009Denied
Customer Dispute
November 2007Denied
Customer Dispute
August 2007Settled
Employment History
Current Registrations
LPL Financial LLC
July 2021 - Present · 4 yrs 10 mos
LPL Financial LLCBroker
July 2021 - Present · 4 yrs 10 mos
Previous Registrations
Waddell & Reed
September 2009 - July 2021 · 11 yrs 10 mos
Waddell & ReedBroker
September 2009 - July 2021 · 11 yrs 10 mos
Wells Fargo Advisors, LLC
June 2007 - June 2009 · 2 yrs
Wells Fargo Advisors, LLCBroker
June 2007 - June 2009 · 2 yrs
Banc of America Investment Services, INC.
October 2004 - April 2007 · 2 yrs 6 mos
Banc of America Investment Services, INC.Broker
October 2004 - April 2007 · 2 yrs 6 mos
Quick & Reilly, INC.
November 2002 - October 2004 · 1 yr 11 mos
Quick & Reilly, INC.Broker
November 2002 - October 2004 · 1 yr 11 mos
Morgan Stanley
October 1999 - November 2002 · 3 yrs 1 mo
Morgan Stanley Dw INC.Broker
September 1999 - November 2002 · 3 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
April 1997 - September 1999 · 2 yrs 5 mos
Pruco Securities CorporationBroker
June 1996 - February 1997 · 8 mos
State Registrations17 states
CACOCTFLILMAMDMENHNJNVNYPARISCTXVT
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.