Vincent Mccarty
Vincent Mccarty is a registered investment advisor at LPL Financial LLC, based in West Des Moines, IA, with 51 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
6600 Westown Pkwy Ste 260, West Des Moines, IA, 50266
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
Vincent operates under the DBA Aspen Financial Services, Inc. for his LPL business. He also owns real estate rental property and is a non-variable insurance producer, dedicating minimal time to the insurance activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
First Union Securities, INC.
First Union Securities, INC.Broker
Principal Financial Securities,inc.Broker
Smith Barney INC.Broker
Lehman Brothers INC.Broker
Peavey Securities, INC.Broker
R. G. Dickinson & CO.Broker
State Registrations1 state
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.