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KH
CFP
KH
CFP

Karen Holmes

LPL Financial LLC
28 Years of Experience
Rockville, MD
BrokerSells Insurance
View SEC Summary
View SEC Summary

Karen Holmes is a CFP-designated registered investment advisor at LPL Financial LLC, based in Rockville, MD, with 28 years of industry experience. Karen 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

20 Courthouse Square, Ste 217, Rockville, MD, 20850

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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

Karen is involved in several business activities, including tax preparation and bookkeeping with Holmes and Associates Accounting Services since 2002, taking about a third of her time. She also operates Holmes and Associates Financial Service as a DBA for her LPL business, dedicating nearly full-time hours, and is a business owner of Holmes and Associates Inc, spending a few hours per week.

Employment History
Current Registrations
LPL Financial LLC
December 2018 - Present · 7 yrs 10 mos
LPL Financial LLCBroker
December 2018 - Present · 7 yrs 10 mos
Previous Registrations
1st Global Advisors INC
October 1998 - December 2018 · 20 yrs 2 mos
1st Global Capital CORP.Broker
January 1998 - December 2018 · 20 yrs 11 mos
State Registrations17 states
ALCACODCFLILMDMIMSNCNJNYPASCTXVAWA
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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