David Garfin
David Garfin is a registered investment advisor at LPL Financial LLC, based in Los Angeles, CA, with 28 years of industry experience. David 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
10250 Constellation Blvd # 30, 30th Flr, Los Angeles, CA, 90067
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2010Other Business Activities
David operates his LPL business under the DBA BMO Investment Services. This activity is investment-related and conducted at his reported business location.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
J.P. Morgan Securities LLC
J.P. Morgan Securities LLCBroker
Stifel, Nicolaus & Company, Incorporated
Stifel, Nicolaus & Company, IncorporatedBroker
Barclays Capital INC.
Barclays Capital INC.Broker
Credit Suisse Securities (USA) LLC
Credit Suisse Securities (USA) LLCBroker
Oppenheimer & CO. INC.Broker
Prime Charter LTD.Broker
D. H. Blair & CO., INC.Broker
State Registrations21 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.
Exams
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