Diane Brennan
Diane Brennan is a registered investment advisor at LPL Enterprise, LLC, based in Wilmington, NC, with 24 years of industry experience. Diane 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
Firm Size
Number of Clients
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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
1602 Harbour Drive, Wilmington, NC, 28401
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Regulatory History (1)
Regulatory
August 2003Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Pruco Securities, LLC.Broker
W&s Brokerage Services, INC.Broker
P.J. Robb Variable CorporationBroker
Metlife Securities INC.
Metlife Securities INC.Broker
AXA Advisors, LLC
AXA Advisors, LLCBroker
UBS Painewebber INC.
UBS Painewebber INC.Broker
State Registrations6 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.