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Tuan Le

LPL Financial LLC
26 Years of Experience
Conshohocken, PA
2 DisclosuresBroker
View SEC Summary
View SEC Summary

Tuan Le is a registered investment advisor at LPL Financial LLC, based in Conshohocken, PA, with 26 years of industry experience. Tuan 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

1920 Butler Pike, Conshohocken, PA, 19428

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
May 2013
Customer Dispute
November 2011
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Tuan operates under DBAs for his LPL business, including TruMark Financial Investor Services and TruMark Financial Wealth Advisors, dedicating full-time hours to the latter. He also owns multiple rental real estate properties, spending minimal to about 10-20% of his time on them.

Employment History
Current Registrations
LPL Financial LLC
December 2016 - Present · 9 yrs 10 mos
LPL Financial LLCBroker
December 2016 - Present · 9 yrs 10 mos
Previous Registrations
Cuso Financial Services, L.P.Broker
May 2013 - November 2016 · 3 yrs 6 mos
Cuso Financial Services, L.P.
May 2013 - November 2016 · 3 yrs 6 mos
PNC InvestmentsBroker
February 2012 - June 2013 · 1 yr 4 mos
PNC Investments
February 2012 - June 2013 · 1 yr 4 mos
Cco Investment Services CORP.
October 2006 - November 2011 · 5 yrs 1 mo
Cco Investment Services CORP.Broker
December 2005 - November 2011 · 5 yrs 11 mos
Suntrust Investment Services, INC.Broker
October 2003 - December 2005 · 2 yrs 2 mos
Citizens Investment Services CORP.Broker
May 2002 - October 2003 · 1 yr 5 mos
Dreyfus Investment Services Company, LLCBroker
November 2000 - May 2002 · 1 yr 6 mos
Edward JonesBroker
September 1999 - November 2000 · 1 yr 2 mos
State Registrations10 states
DEFLGAMAMENCNJNYPASC
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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Tuan Le - Financial Advisor | TrueAdvisor