David Graham is a registered investment advisor at LPL Financial LLC, based in Denver, CO, with 26 years of industry experience. David 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
7222 E Layton Avenue, Denver, CO, 80237
Get directionsHistory
Regulatory History (2)
Customer Dispute
April 2012Criminal
June 1997Other Business Activities
David is associated with Vectra Wealth Advisors since 2016. He also works as a Relationship Manager for Wealth & Fiduciary Services, dedicating minimal time during securities trading.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Key Investment Services LLC
Key Investment Services LLCBroker
Mcdonald Investments INC.Broker
Mcdonald Investments INC.
Waddell & Reed, INC.
Waddell & Reed, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations15 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.
Exams
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