John Smith is a registered investment advisor at LPL Financial LLC, based in Scranton, PA, 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
1101 Penn Ave, Ste A, Scranton, PA, 18509
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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 ActivitiesSells Insurance
John sells basic life insurance and fixed annuities since January 2020. He also has several DBAs for his LPL business and works as a sales representative for Central Air Freight Services, Inc, dedicating about a quarter of his time to this role.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Nationwide Securities, LLCBroker
Nationwide Securities, LLCBroker
C. J. M. Planning CORP.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.