Norma Cunanan
Norma Cunanan is a registered investment advisor at LPL Financial LLC, based in Pasadena, CA, with 28 years of industry experience. Norma 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
70 S. Lake Ave., Ste. 700, Pasadena, CA, 91101
Get directionsHistory
Regulatory History (4)
Employment Separation After Allegations
April 2013Customer Dispute
April 2008Customer Dispute
May 2004Customer Dispute
July 2002Other Business Activities
Norma uses Carnegie Wealth Management as a DBA for her securities business.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Western International Securities, INC.Broker
Western International Securities
Morgan StanleyBroker
Morgan Stanley
Morgan Stanley & CO. Incorporated
Morgan Stanley & CO. IncorporatedBroker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Quest Capital Strategies, INC.Broker
State Registrations2 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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