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CFP
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CFP

Lisa Tennant

LPL Financial LLC
27 Years of Experience
Latham, NY
BrokerSells Insurance
View SEC Summary
View SEC Summary

Lisa Tennant is a CFP-designated registered investment advisor at LPL Financial LLC, based in Latham, NY, with 27 years of industry experience. Lisa 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

3 Lear Jet Ln Stes 200N & 201N, Latham, NY, 12110

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History

Regulatory History
Clean regulatory record

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.

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Other Business ActivitiesSells Insurance

Lisa operates her LPL business through Empire Financial Advisors. She also engages in non-variable insurance activities and is an insurance agent with Specific Solutions, dedicating minimal time to each. Finally, Lisa is a limited partner owner in a real estate rental business, Casey's Restaurant, spending a few hours per week.

Employment History
Current Registrations
LPL Financial LLC
March 2019 - Present · 7 yrs 7 mos
LPL Financial LLCBroker
February 2019 - Present · 7 yrs 8 mos
Previous Registrations
M&t Securities, INC.
December 2014 - March 2019 · 4 yrs 3 mos
M&t Securities, INC.Broker
February 2003 - March 2019 · 16 yrs 1 mo
Northwestern Mutual Investment Services, LLCBroker
July 2001 - December 2002 · 1 yr 5 mos
Robert W. Baird & CO. IncorporatedBroker
July 2001 - January 2002 · 6 mos
M&t Securities, INC.Broker
August 1998 - April 2001 · 2 yrs 8 mos
State Registrations12 states
CTDEFLGAMANCNYOHSCTNVAVT
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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