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JW
CFP
JW
CFP

Jeffrey Waters

LPL Financial LLC
26 Years of Experience
Birmingham, AL
BrokerSells Insurance
View SEC Summary
View SEC Summary

Jeffrey Waters is a CFP-designated registered investment advisor at LPL Financial LLC, based in Birmingham, AL, with 26 years of industry experience. Jeffrey 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

2000A Southbridge Pkwy Ste 430, Birmingham, AL, 35209

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History

Regulatory History
Clean regulatory record

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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Other Business ActivitiesSells Insurance

Jeffrey operates Lake Ridge Private Wealth, LLC as a DBA for his LPL business, dedicating full-time hours to it. He also engages in non-variable insurance activities and manages L R Private Wealth LLC for tax/investment purposes, also dedicating full-time hours to this.

Employment History
Current Registrations
LPL Financial LLC
September 2024 - Present · 2 yrs 1 mo
LPL Financial LLCBroker
September 2024 - Present · 2 yrs 1 mo
Previous Registrations
Ameriprise Financial Services, LLC
December 2013 - September 2024 · 10 yrs 9 mos
Ameriprise Financial Services, LLCBroker
December 2013 - September 2024 · 10 yrs 9 mos
Eagle Strategies LLC
December 2002 - December 2013 · 11 yrs
Nylife Securities LLCBroker
November 1999 - December 2013 · 14 yrs 1 mo
State Registrations8 states
ALFLGAINMAMSORVA
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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