Keith Banks
Keith Banks is a registered investment advisor at LPL Financial LLC, based in Valley Stream, NY, with 23 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
Valley Stream, NY
Get directionsHistory
Regulatory History (1)
Customer Dispute
March 2009Other Business ActivitiesSells Insurance
Keith is involved with non-variable insurance through Charter Oak Financial since 2022. This requires a few hours per week.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
MML Investors Services, LLCBroker
MML Investors Services, LLC
Msi Financial Services, INC.
Msi Financial Services, INC.Broker
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Citicorp Investment ServicesBroker
Citicorp Investment Services
AXA Advisors, LLC
AXA Advisors, LLCBroker
Chase Investment Services CORP.Broker
Mony Securities CorporationBroker
Quick & Reilly, INC.Broker
State Registrations7 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.