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Don Williams

LPL Financial LLC
25 Years of Experience
San Marcos, CA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Don Williams is a registered investment advisor at LPL Financial LLC, based in San Marcos, CA, with 25 years of industry experience. Don 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

San Marcos, CA

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History

Regulatory History (1)
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.
Criminal
March 1989
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Don operates his LPL business under the DBA Financial Advocates. This activity is investment-related and takes up a full-time commitment.

Employment History
Current Registrations
LPL Financial LLC
December 2023 - Present · 2 yrs 10 mos
LPL Financial LLC
December 2023 - Present · 2 yrs 10 mos
LPL Financial LLCBroker
December 2023 - Present · 2 yrs 10 mos
Previous Registrations
Independent Financial Group, LLC
March 2023 - December 2023 · 9 mos
Independent Financial Group, LLCBroker
March 2023 - December 2023 · 9 mos
Foreside Fund Services, LLCBroker
April 2022 - December 2022 · 8 mos
Purshe Kaplan Sterling InvestmentsBroker
August 2021 - December 2021 · 4 mos
Thrivent Advisor Network, LLC
April 2020 - December 2021 · 1 yr 8 mos
LPL Financial LLC
January 2016 - April 2020 · 4 yrs 3 mos
LPL Financial LLCBroker
January 2016 - April 2020 · 4 yrs 3 mos
LPL Financial LLC
February 2015 - October 2015 · 8 mos
LPL Financial LLCBroker
February 2015 - October 2015 · 8 mos
Cuso Financial Services, L.P.
March 2006 - February 2015 · 8 yrs 11 mos
Cuso Financial Services, L.P.Broker
March 2006 - February 2015 · 8 yrs 11 mos
E*trade Securities LLCBroker
September 2005 - March 2006 · 6 mos
Linsco/private Ledger CORP.
February 2001 - August 2005 · 4 yrs 6 mos
Linsco/private Ledger CORP.Broker
February 2001 - August 2005 · 4 yrs 6 mos
Dean Witter Reynolds INC.Broker
June 2000 - February 2001 · 8 mos
State Registrations2 states
CAWA
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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