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Christopher Marks

LPL Financial LLC
29 Years of Experience
Buffalo, NY
BrokerSells Insurance
View SEC Summary
View SEC Summary

Christopher Marks is a registered investment advisor at LPL Financial LLC, based in Buffalo, NY, with 29 years of industry experience. Christopher 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
28129 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

360 Delaware Avenue, Suite 400, Buffalo, NY, 14202

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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

Christopher is an investment advisor representative with Sterling Investment Counsel, LLC, and a board member for Servotronics, Inc. He also works as a broker for Specific Solutions, Inc. and Alliance Advisory Group LLC, selling fixed life insurance, disability insurance, and long-term care insurance, dedicating a few hours per week to these activities.

Employment History
Current Registrations
LPL Financial LLCBroker
February 2018 - Present · 8 yrs 8 mos
Sterling Investment Counsel, LLC
April 2016 - Present · 10 yrs 6 mos
Previous Registrations
LPL Financial LLC
February 2018 - April 2018 · 2 mos
Sii Investments, INC.
November 2007 - February 2018 · 10 yrs 3 mos
Sii Investments, INC.Broker
November 2007 - February 2018 · 10 yrs 3 mos
1717 Capital Management Company
November 1999 - November 2007 · 8 yrs
1717 Capital Management CompanyBroker
April 1997 - November 2007 · 10 yrs 7 mos
State Registrations21 states
ALCACTDCDEFLGAILINMAMDNYOHORPASCTXVAWAWIWV
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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