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Todd Pam

LPL Financial LLC
28 Years of Experience
Claremont, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
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Todd Pam is a registered investment advisor at LPL Financial LLC, based in Claremont, CA, with 28 years of industry experience. Todd 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

427 Yale Avenue Ste. 102, Claremont, CA, 91711

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History

Regulatory History (1)
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
July 2016
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Todd operates under two DBAs for his LPL business: Thiesen Dueker Financial Consulting Group (since 2019) and Thiesen Dueker Modern Wealth Management (since 2023), dedicating full-time hours to the latter. He also engages in non-variable insurance activities, spending minimal time on it.

Employment History
Current Registrations
LPL Financial LLC
August 2019 - Present · 7 yrs 2 mos
LPL Financial LLCBroker
July 2019 - Present · 7 yrs 3 mos
Previous Registrations
Dws Distributors, INC.Broker
April 2018 - July 2019 · 1 yr 3 mos
Cr Capital Distributors, LLCBroker
September 2016 - March 2018 · 1 yr 6 mos
Clearbridge Investments, LLC
June 2015 - August 2016 · 1 yr 2 mos
Legg Mason Investor Services, LLCBroker
June 2015 - August 2016 · 1 yr 2 mos
Blackrock Financial Management, INC
June 2006 - May 2015 · 8 yrs 11 mos
Blackrock Investments, LLCBroker
February 2006 - May 2015 · 9 yrs 3 mos
Wm Funds Distributor, INC.Broker
November 2001 - February 2006 · 4 yrs 3 mos
Van Kampen Funds INC.Broker
June 1997 - August 2001 · 4 yrs 2 mos
State Registrations24 states
AZCACOCTFLHIIAIDILINKSMIMONVNYORPARITXUTVAVTWAWI
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.
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Todd Pam - Financial Advisor | TrueAdvisor