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CFP

Nicholas Dragan

LPL Financial LLC
24 Years of Experience
Des Peres, MO
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Nicholas Dragan is a CFP-designated registered investment advisor at LPL Financial LLC, based in Des Peres, MO, with 24 years of industry experience. Nicholas 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
28129 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

13358 Manchester Rd Ste 200, Des Peres, MO, 63131

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History

Regulatory History (1)
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.
Customer Dispute
December 2013
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Nicholas operates under several DBAs for his LPL business: The Planify Group, Cornerstone Wealth Services, and Cornerstone Wealth Portfolios. He also owns rental real estate and participates in a hockey card show, and works as an insurance broker with The Insurance Partners, dedicating a few hours per week to this.

Employment History
Current Registrations
LPL Financial LLCBroker
November 2021 - Present · 4 yrs 11 mos
LPL Financial LLC
November 2021 - Present · 4 yrs 11 mos
Previous Registrations
MML Investors Services, LLC
March 2017 - November 2021 · 4 yrs 8 mos
MML Investors Services, LLCBroker
March 2017 - November 2021 · 4 yrs 8 mos
Msi Financial Services, INC.
January 2015 - March 2017 · 2 yrs 2 mos
Msi Financial Services, INC.Broker
June 2013 - March 2017 · 3 yrs 9 mos
New England Securities Corporation
February 2009 - January 2015 · 5 yrs 11 mos
New England SecuritiesBroker
February 2009 - January 2015 · 5 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2001 - February 2009 · 7 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2001 - February 2009 · 7 yrs 5 mos
State Registrations19 states
ALAZCACOFLGAILINLAMAMIMNMONCNVORSCTNWA
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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Nicholas Dragan - Financial Advisor | TrueAdvisor