David Simpson is a registered investment advisor at LPL Financial LLC, based in Tracy, CA, with 26 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
37 West 10th Street, Tracy, CA, 95376
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Regulatory History (1)
Customer Dispute
September 2011Other Business Activities
David is involved in tax preparation, accounting, and bookkeeping through David A. Simpson Inc., dedicating about a quarter of his time to this investment-related activity. He also owns rental real estate, spending a few hours per week on it.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Independent Financial Group, LLC
Independent Financial Group, LLCBroker
Eplanning Advisors INC
Eplanning Securities, INC.Broker
Wall Street Financial Group, INC
Wall Street Financial Group, INC.Broker
Terra Securities CorporationBroker
State Registrations10 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.