Julieta Smith is a registered investment advisor at LPL Financial LLC, based in San Diego, CA, with 23 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
4707 Executive Dr, San Diego, CA, 92121-3091
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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.
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Julieta is involved in three outside business activities: real estate rental since 2009, a certified arbitrator since 2008, and an indie author since May 2023, dedicating about 10-20% of her time to the latter.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Preferred Capital Securities, LLCBroker
Invesco Advisers, INC.
Invesco Distributors, INC.Broker
Ing Investment Management CO. LLC
Ing Investments Distributor, LLCBroker
Suntrust Investment Services, INC.Broker
Suntrust Investment Services, INC.
Wells Fargo Advisors, LLC
Wells Fargo Advisors, LLCBroker
Edward JonesBroker
J. P. Morgan Invest, LLCBroker
Park Avenue Securities LLCBroker
William R. Hough & CO.Broker
Raymond James & Associates, INC.Broker
Park Avenue Securities LLCBroker
Pruco Securities CorporationBroker
State Registrations53 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.