Bettina Tran is a CFP-designated registered investment advisor at LPL Financial LLC, based in Irvine, CA, with 19 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
18022 Culver Drive, Irvine, CA, 92612
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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.
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Bettina works as a notary and financial institution duty advisor for BMO Bank NA, dedicating about 10-20% of her time and full-time hours respectively. She also operates under a DBA for LPL Business through BMO Investment Services.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Bancwest Investment Services, INC.Broker
Bancwest Investment Services, INC. (bwis)
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
Harris Investorline INC.Broker
Harris InvestorlineBroker
Harris Investors Direct, INC.Broker
State Registrations2 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.