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Aaron Cook

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

Newport Beach, CA

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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.
Criminal
May 1995
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Aaron operates under the DBAs AGC Advisors and AGC Wealth/Wealth Advisors for his LPL business, dedicating most of his time to these activities. He also works as an introducing agent for non-variable insurance through Gallagher Benefits Services, spending minimal time on this.

Employment History
Current Registrations
LPL Financial LLC
November 2019 - Present · 6 yrs 11 mos
LPL Financial LLCBroker
November 2019 - Present · 6 yrs 11 mos
LPL Financial LLC
November 2019 - Present · 6 yrs 11 mos
Previous Registrations
Ameriprise Financial Services, INC.
December 2013 - November 2019 · 5 yrs 11 mos
Ameriprise Financial Services, INC.Broker
December 2013 - November 2019 · 5 yrs 11 mos
Newport Coast Asset Management
July 2012 - December 2013 · 1 yr 5 mos
Newport Coast Securities, INC.Broker
July 2012 - December 2013 · 1 yr 5 mos
Bluerock Capital Markets LLCBroker
May 2012 - July 2012 · 2 mos
Steadfast Capital Markets Group, LLCBroker
September 2006 - March 2012 · 5 yrs 6 mos
Afa Financial Group, LLCBroker
May 2006 - April 2007 · 11 mos
Nnn Capital CORP.Broker
September 2004 - April 2006 · 1 yr 7 mos
Atel Securities CorporationBroker
October 2001 - September 2004 · 2 yrs 11 mos
Signator Investors, INC.Broker
May 1997 - June 2001 · 4 yrs 1 mo
State Registrations24 states
ALAZCACOCTFLGAILINMAMEMINCNJNMNVNYOKORSCTNVAVirgin IslandsWA
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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