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CFP
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CFP

Lewis Vasey

LPL Financial LLC
29 Years of Experience
Urbandale, IA
BrokerSells Insurance
View SEC Summary
View SEC Summary

Lewis Vasey is a CFP-designated registered investment advisor at LPL Financial LLC, based in Urbandale, IA, with 29 years of industry experience. Lewis 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
—
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Location

2967 100th Street Suite 8, Urbandale, IA, 50322

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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.

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Other Business ActivitiesSells Insurance

Lewis operates Vasey Financial Services as a DBA for his LPL business, spending a few hours per week on it. He is also an agent selling non-variable insurance, dedicating a few hours per week to this activity as well.

Employment History
Current Registrations
LPL Financial LLCBroker
April 2024 - Present · 2 yrs 6 mos
LPL Financial LLC
April 2024 - Present · 2 yrs 6 mos
Previous Registrations
Lincoln Financial Securities Corporation
February 2010 - April 2024 · 14 yrs 2 mos
Lincoln Financial Securities CorporationBroker
February 2010 - April 2024 · 14 yrs 2 mos
Signator Investors, INC.
March 2001 - February 2010 · 8 yrs 11 mos
Signator Investors, INC.Broker
April 1997 - February 2010 · 12 yrs 10 mos
John Hancock Mutual Life Insurance CompanyBroker
April 1997 - May 1997 · 1 mo
State Registrations11 states
AZCOIAILKSMONESDTXWAWI
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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