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CFP
JP
CFP

John Pelletier

LPL Financial LLC
23 Years of Experience
Wauwatosa, WI
2 DisclosuresBroker
View SEC Summary
View SEC Summary

John Pelletier is a CFP-designated registered investment advisor at LPL Financial LLC, based in Wauwatosa, WI, with 23 years of industry experience. John 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
28129 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

7501 W. North Avenue, Wauwatosa, WI, 53213

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History

Regulatory History (2)
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.
Regulatory
September 2023
Final
Customer Dispute
August 2020
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLC
March 2026 - Present · 7 mos
LPL Financial LLCBroker
March 2026 - Present · 7 mos
Previous Registrations
LPL Financial LLC
March 2021 - November 2025 · 4 yrs 8 mos
LPL Financial LLCBroker
March 2021 - November 2025 · 4 yrs 8 mos
BMO Harris Financial Advisors, INC
August 2012 - March 2021 · 8 yrs 7 mos
BMO Harris Financial Advisors, INC.Broker
August 2012 - March 2021 · 8 yrs 7 mos
M&i Financial Advisors, INC.
April 2012 - August 2012 · 4 mos
M&i Investment Management CORP.
April 2010 - April 2012 · 2 yrs
M&i Financial Advisors, INC.
September 2005 - March 2010 · 4 yrs 6 mos
M&i Financial Advisors, INCBroker
June 2004 - August 2012 · 8 yrs 2 mos
Robert W. Baird & CO. IncorporatedBroker
May 2001 - November 2002 · 1 yr 6 mos
State Registrations18 states
ARAZCACOCTFLGAILMIMNNCNHOHOKTNTXVAWI
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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