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L Brokaw

Wells Fargo Advisors
55 Years of Experience
San Diego, CA
1 DisclosureBroker
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L Brokaw is a registered investment advisor at Wells Fargo Advisors, based in San Diego, CA, with 55 years of industry experience. L is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Divorce Planning, Education Planning, Financial Planning & Coaching, and 2 more. Their firm serves 1,324,168 clients with $670B in assets under management.

Wells Fargo Advisors
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
14699 advisors
IM Fee
Planning only
Assets Under Management
$671.4B

Fee Structure

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

View Full SEC Brochure

Location

12531 High Bluff Dr Ste 400, San Diego, CA, 92130

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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 1998
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Wells Fargo Advisors
September 2009 - Present · 17 yrs 1 mo
Wells Fargo Clearing Services, LLCBroker
September 2009 - Present · 17 yrs 1 mo
Previous Registrations
Morgan Stanley Smith Barney LLC
June 2009 - September 2009 · 3 mos
Morgan Stanley Smith BarneyBroker
June 2009 - September 2009 · 3 mos
Morgan Stanley & CO. IncorporatedBroker
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley & CO. Incorporated
April 2007 - June 2009 · 2 yrs 2 mos
Morgan Stanley
December 2000 - April 2007 · 6 yrs 4 mos
Morgan Stanley Dw INC.Broker
August 2000 - April 2007 · 6 yrs 8 mos
A. G. Edwards & Sons, INC.Broker
September 1995 - August 2000 · 4 yrs 11 mos
Sutro & CO. IncorporatedBroker
March 1984 - September 1995 · 11 yrs 6 mos
J. David Securities, INC.Broker
November 1981 - March 1986 · 4 yrs 4 mos
Bache Halsey Stuart Shields IncorporatedBroker
September 1977 - September 1981 · 4 yrs
Bache Halsey Stuart INC.Broker
June 1977 - September 1977 · 3 mos
Loeb, Rhoades & CO. INC.Broker
January 1975 - June 1977 · 2 yrs 5 mos
Shearson Hayden Stone INC.Broker
November 1971 - February 1975 · 3 yrs 3 mos
Dean Witter & CO. IncorporatedBroker
May 1971 - November 1971 · 6 mos
State Registrations16 states
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AdvisorBrokerBoth

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Exams
No exam information available for this advisor.
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