Daniel Sommers is a registered investment advisor at LPL Financial LLC, based in St. Joseph, MO, with 28 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
402 North Belt Hwy, St. Joseph, MO, 64506
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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.
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Daniel operates under several DBAs for his LPL business, including Nodaway Valley Investment Services and NVIS. He dedicates minimal time to one DBA during securities trading and nearly full-time to another.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
LPL Financial Corporation
Uvest Financial Services Group, INC.Broker
Uvest Financial Services Group, INC.
Linsco/private Ledger CORP.
Linsco/private Ledger CORP.Broker
First Union Securities, INC.Broker
First Union Brokerage Services, INC.Broker
Edward JonesBroker
State Registrations16 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.