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Charles Pound

LPL Financial LLC
27 Years of Experience
Danville, CA
1 DisclosureBroker
View SEC Summary
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Charles Pound is a registered investment advisor at LPL Financial LLC, based in Danville, CA, with 27 years of industry experience. Charles 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
—
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Location

Danville, CA

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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
December 2000
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLCBroker
November 2012 - Present · 13 yrs 11 mos
LPL Financial LLC
November 2012 - Present · 13 yrs 11 mos
Previous Registrations
Vestor Capital, LLC
November 2012 - December 2012 · 1 mo
Vestor Capital Securities, LLCBroker
January 2011 - December 2012 · 1 yr 11 mos
Vestor Capital Partners, LLC
January 2011 - October 2012 · 1 yr 9 mos
Zacks & CompanyBroker
August 2008 - January 2011 · 2 yrs 5 mos
Zacks Investment Management, INC.
July 2008 - January 2011 · 2 yrs 6 mos
Amerivest Investment Management, LLC
May 2008 - July 2008 · 2 mos
TD Ameritrade, INC.
May 2008 - July 2008 · 2 mos
TD Ameritrade, INC.Broker
May 2008 - July 2008 · 2 mos
Wachovia Securities, LLCBroker
April 2007 - June 2007 · 2 mos
Wachovia Securities, LLC
April 2007 - June 2007 · 2 mos
Wells Fargo Investments, LLC
May 2003 - April 2007 · 3 yrs 11 mos
Wells Fargo Investments, LLCBroker
May 2003 - April 2007 · 3 yrs 11 mos
Prudential Securities Incorporated
June 2001 - May 2003 · 1 yr 11 mos
Prudential Securities IncorporatedBroker
June 2001 - May 2003 · 1 yr 11 mos
Salomon Smith Barney INC.Broker
February 2001 - June 2001 · 4 mos
UBS Painewebber INC.Broker
October 1999 - March 2001 · 1 yr 5 mos
Sutro & CO. IncorporatedBroker
August 1998 - October 1999 · 1 yr 2 mos
State Registrations5 states
CAIDORTXWA
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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