Dana Seto-Chun
Dana Seto-Chun is a CFP-designated registered investment advisor at LPL Enterprise, LLC, based in Walnut Creek, CA, with 23 years of industry experience. Dana operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
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Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
1255 Treat Blvd., Suite 300, Walnut Creek, CA, 94597
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Regulatory History (1)
Employment Separation After Allegations
July 2014Employment History
Current Registrations
LPL Enterprise, LLCBroker
LPL Enterprise, LLC
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Tiaa-Cref Individual & Institutional Services, LLCBroker
Advice and Planning Services
Schwab Private Client Investment Advisory, INC.
Charles Schwab & CO., INC.
Charles Schwab & CO., INC.Broker
State Registrations22 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.