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Mark Ettinger

LPL Financial LLC
25 Years of Experience
Fort Mill, SC
3 DisclosuresBroker
View SEC Summary
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Mark Ettinger is a registered investment advisor at LPL Financial LLC, based in Fort Mill, SC, with 25 years of industry experience. Mark is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1055 Lpl Way, Fort Mill, SC, 29715

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Criminal
August 1989
Final Disposition
Criminal
February 1989
Final Disposition
Criminal
November 1983
Final Disposition
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
LPL Financial LLCBroker
March 2026 - Present · 7 mos
LPL Financial LLC
March 2026 - Present · 7 mos
Previous Registrations
Cetera Investment Advisers LLC
March 2025 - March 2026 · 1 yr
Cetera Investment Services LLCBroker
March 2025 - March 2026 · 1 yr
LPL Financial LLC
June 2018 - December 2024 · 6 yrs 6 mos
LPL Financial LLCBroker
June 2018 - December 2024 · 6 yrs 6 mos
Invest Financial Corporation
May 2002 - April 2018 · 15 yrs 11 mos
Invest Financial CorporationBroker
May 2002 - April 2018 · 15 yrs 11 mos
Morgan Stanley Dw INC.Broker
March 2001 - May 2002 · 1 yr 2 mos
State Registrations1 state
SC
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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