Jeffrey Bauer is a registered investment advisor at LPL Enterprise, LLC, based in Shelton, CT, with 26 years of industry experience. Jeffrey operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
1 Corporate Drive, Suite 205, Shelton, CT, 06484
Get directionsHistory
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.
Learn about disclosures →Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Pruco Securities, LLC.Broker
Prudential Financial Planning Services
William Joseph Capital Management,llc
Charles Schwab & CO., INC.Broker
Charles Schwab & CO., INC.
Patrick Capital Markets, LLCBroker
Voya Investments Distributor, LLCBroker
Voya Investment Management CO. LLC
Guggenheim Funds Distributors, INC.Broker
Ftam Funds Distributor, INC.Broker
Alps Distributors, INC.Broker
Fifth Third Asset Management, INC.
Bisys Fund Services Limited PartnershipBroker
Cam North America, LLC
Legg Mason Investor Services, LLCBroker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Blackrock Investments, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations9 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.