Duane Sunby
Duane Sunby is a registered investment advisor at LPL Financial LLC, based in Shrewsbury, NJ, 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
494 Sycamore Ave, Shrewsbury, NJ, 07702
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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
Duane operates Sycamore Retirement Consultants as a DBA for his LPL business, dedicating about a quarter of his time. He also works with NPPG, LLC and NPPG Employee Benefits LLC selling non-variable insurance, taking about half of his time. Duane spends minimal time on DWS Financial, LLC, a business entity for tax/investment purposes.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
1st Discount Brokerage, INC.
1st Discount Brokerage, INC.Broker
Metlife Securities INC.
Metlife Securities INC.Broker
Metropolitan Life Insurance CompanyBroker
Prudential Securities IncorporatedBroker
Pruco Securities CorporationBroker
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.