TrueAdvisor
TrueAdvisor
AD
CFP · ChFC
AD
CFP · ChFC

Andrew Duff

LPL Financial LLC
29 Years of Experience
San Diego, CA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Andrew Duff is a CFP, ChFC-designated registered investment advisor at LPL Financial LLC, based in San Diego, CA, with 29 years of industry experience. Andrew 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

4707 Executive Dr, San Diego, CA, 92121-3091

Get directions

History

Regulatory History
Clean regulatory record

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.

Learn about disclosures →
Other Business ActivitiesSells Insurance

Andrew is involved in several business activities, including non-variable insurance trails with Duff Financial and Insurance Services, operating Summit Wealth Strategies, LLC as a DBA for his LPL business, owning Top Drawer Enterprises, and owning Market Street Financial Building and residential rental properties. These activities require minimal time commitment.

Employment History
Current Registrations
LPL Financial LLC
October 2023 - Present · 3 yrs
LPL Financial LLC
October 2023 - Present · 3 yrs
LPL Financial LLCBroker
October 2023 - Present · 3 yrs
Previous Registrations
Equitable Advisors, LLC
June 2005 - October 2023 · 18 yrs 4 mos
Equitable Advisors, LLCBroker
June 2005 - October 2023 · 18 yrs 4 mos
Mony Securities Corporation
May 2002 - June 2005 · 3 yrs 1 mo
Mony Securities CorporationBroker
October 1996 - June 2005 · 8 yrs 8 mos
State Registrations40 states
AKALAZCACOCTDEFLGAHIIAIDILINKSKYMAMDMIMNMOMSMTNCNHNJNMNVNYOHORPASCSDTNTXUTVAWAWY
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.
More Advisors
More financial advisors in San Diego, CA →All financial advisors in California →