Vivian Sun is a registered investment advisor at LPL Financial LLC, based in San Ramon, CA, with 28 years of industry experience. Vivian 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
San Ramon, CA
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Regulatory History (2)
Customer Dispute
April 2022Customer Dispute
July 2006Other Business Activities
Vivian works full-time for Prima Wealth Management as her LPL business. She also has several other business activities, including serving as a trustee for a family trust and involvement with several LLCs and a non-profit, dedicating minimal time to each.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Morgan Stanley
Morgan StanleyBroker
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
Citicorp Investment Services
Citicorp Investment ServicesBroker
Pruco Securities CorporationBroker
Wma Securities, INC.Broker
State Registrations3 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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