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Gregg Diamond

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

9045 Corbin Ave. Unit 305, Northridge, CA, 91324

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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.
Customer Dispute
March 2009
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Gregg has several outside business activities, including a tax/investment S corp, rental real estate since 2015 (minimal time), and non-variable insurance sales since 2022 (minimal time). He is also an insurance agent with CBS Brokerage since 2023 (minimal time).

Employment History
Current Registrations
LPL Financial LLC
December 2008 - Present · 17 yrs 10 mos
LPL Financial LLCBroker
November 2008 - Present · 17 yrs 11 mos
Previous Registrations
Wamu Investments, INC.
August 2006 - December 2008 · 2 yrs 4 mos
Wamu Investments, INC.Broker
January 1999 - December 2008 · 9 yrs 11 mos
Griffin Financial ServicesBroker
February 1998 - January 1999 · 11 mos
State Registrations11 states
ALAZCAFLIAIDMENVPASCTX
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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