Germaine Harris is a registered investment advisor at LPL Financial LLC, based in Chicago, IL, with 25 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
320 S. Canal Street, Chicago, IL, 60606
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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
Germaine is affiliated with BMO Investment Services as a DBA for LPL business and also has a financial institution duty with BMO Bank NA. Both activities are investment-related and take nearly full-time hours.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Alliancebernstein L.P.
Sanford C. Bernstein & CO., LLCBroker
Fidelity Investments Institutional Services Company, INC.Broker
Fidelity Brokerage Services LLCBroker
J.P. Morgan Institutional Investments INC.Broker
J.P. Morgan Asset Management
Jpmorgan Asset Management
Jpmorgan Distribution Services, INC.Broker
Banc One Securities CorporationBroker
Signator Investors, INC.Broker
State Registrations1 state
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.