Keri Pugh is a CFP-designated registered investment advisor at LPL Financial LLC, based in Littleton, CO, with 27 years of industry experience. Keri 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
10488 W Centennial Rd, Ste 406, Littleton, CO, 80127
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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.
Learn about disclosures →Other Business Activities
Keri owns Keri I. Pugh, Inc., a business entity for tax/investment purposes, dedicating about 10-20% of her time during securities trading. She also operates under two DBAs, Fusion Financial Group and Fusion Financial, for her LPL business, spending full-time hours on Fusion Financial Group and about 10-20% of her time on Fusion Financial.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Aig Financial Advisors, INC.Broker
Sunamerica Securities, INC.Broker
Jackson National Life Distributors, INC.Broker
Oppenheimerfunds Distributor, INC.Broker
State Registrations30 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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