William Niederauer
William Niederauer is a registered investment advisor at LPL Financial LLC, based in Goshen, NY, with 25 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
30 Matthews St, Ste 302, Goshen, NY, 10924
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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.
Learn about disclosures →Other Business ActivitiesSells Insurance
William operates Quest Advisory as a DBA for his LPL business. He is also an agent with Yankee Advisor Network, selling life insurance and fixed annuities, dedicating a few hours per week.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Securities America Advisors, INC.
Securities America, INC.Broker
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
Prudential Investments LLC
Prudential Investment Management Services LLCBroker
Alliancebernstein Investment Research and Management, INC.Broker
State Registrations9 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.