Seema Sethi
Seema Sethi is a registered investment advisor at LPL Financial LLC, based in Riverside, CA, 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
2900 Adams St. Ste A-370, Riverside, CA, 92504
Get directionsHistory
Regulatory History (3)
Customer Dispute
March 2007Customer Dispute
October 2006Customer Dispute
January 2006Other Business ActivitiesSells Insurance
Seema is licensed to sell term life insurance, long-term care insurance, fixed annuities, and indexed annuities since 2010. She also owns rental real estate since 2013, dedicating minimal time to it.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Investors Capital Advisory
Investors Capital CORP.Broker
Ameriprise Financial Services, INC.
Ameriprise Financial Services, INC.Broker
Ids Life Insurance CompanyBroker
State Registrations16 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.