Sandy Brown is a registered investment advisor at LPL Financial LLC, based in Fresno, CA, with 24 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
5200 N Palm Ave., Ste 403, Fresno, CA, 93704
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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.
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Sandy works in an administrative role for Eye Q Vision Care, starting in 2022. This takes about a quarter of Sandy's time, with minimal time during trading hours.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Scf Investment Advisors, INC.
Scf Securities, INC.Broker
Princor Financial Services Corporation
Princor Financial Services CorporationBroker
UBS Financial Services INC.
UBS Financial Services INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
State Registrations21 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.