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CFP
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CFP

Susan Powell

LPL Financial LLC
26 Years of Experience
Tustin, CA
Broker
View SEC Summary
View SEC Summary

Susan Powell is a CFP-designated registered investment advisor at LPL Financial LLC, based in Tustin, CA, with 26 years of industry experience. Susan 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
—
View Full SEC Brochure

Location

1432 Edinger Avenue, Suite 140, Tustin, CA, 92780

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History

Regulatory History
Clean regulatory record

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.

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Other Business Activities

Susan owns rental real estate, including a rental house managed by a property management firm since 2000 and an office condo held inside an LLC since 2019. She dedicates minimal time to these activities.

Employment History
Current Registrations
LPL Financial LLC
September 2002 - Present · 24 yrs 1 mo
LPL Financial LLCBroker
September 2002 - Present · 24 yrs 1 mo
Previous Registrations
Lincoln Financial Advisors Corporation
September 2001 - September 2002 · 1 yr
Lincoln Financial Advisors CorporationBroker
June 2001 - September 2002 · 1 yr 3 mos
The Lincoln National Life Insurance CompanyBroker
June 2001 - September 2002 · 1 yr 3 mos
Banc of America Investment Services, INC.Broker
July 1999 - October 2000 · 1 yr 3 mos
Ba Investment Services, INC.Broker
March 1999 - July 1999 · 4 mos
State Registrations10 states
AZCACOGAMAMTNEOHTXUT
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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