Tom Tan is a registered investment advisor at LPL Financial LLC, based in Laguna Niguel, CA, with 24 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
24000 Avila Rd Ste U120, Laguna Niguel, CA, 92677
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Tom owns rental real estate since 1994. He also operates under the DBAs Investment Services and SoCal Wealth Management for his LPL business, dedicating full-time hours to these investment-related activities.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cuso Financial Services, L.P.
Cuso Financial Services, L.P.Broker
Pacific Select Distributors, INC.Broker
Wm Financial Services, INC.
Wm Financial Services, INC.Broker
Pacific Select Distributors, INC.Broker
Citistreet Equities LLCBroker
Painewebber IncorporatedBroker
State Registrations21 states
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.