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Heather Harms

LPL Financial LLC
25 Years of Experience
Lincoln, NE
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Heather Harms is a registered investment advisor at LPL Financial LLC, based in Lincoln, NE, with 25 years of industry experience. Heather 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

9060 Andermatt Dr Ste 101, Lincoln, NE, 68526

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History

Regulatory History (1)
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Criminal
August 1996
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Heather works for 2M Cleaning Service doing clerical/record keeping work, dedicating minimal time. She also has investment-related DBAs for her LPL business and sells non-variable insurance through Banner, dedicating minimal time to each.

Employment History
Current Registrations
LPL Financial LLC
April 2020 - Present · 6 yrs 6 mos
LPL Financial LLCBroker
April 2020 - Present · 6 yrs 6 mos
Previous Registrations
Securities America Advisors, INC.
March 2010 - April 2020 · 10 yrs 1 mo
Securities America, INC.Broker
March 2010 - April 2020 · 10 yrs 1 mo
Ids Life Insurance CompanyBroker
October 2002 - July 2006 · 3 yrs 9 mos
Ameriprise Financial Services, INC.
May 2001 - February 2010 · 8 yrs 9 mos
Ameriprise Financial Services, INC.Broker
April 2001 - February 2010 · 8 yrs 10 mos
State Registrations1 state
NE
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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