Vivian Sun is a registered investment advisor at LPL Financial LLC, based in San Ramon, CA, with 27 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
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.