Seema Sethi
Seema Sethi is a registered investment advisor at LPL Financial LLC, based in Riverside, CA, with 24 years of industry experience. Seema 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
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.
Exams
More Advisors
- Thoeurn IndyLPL Financial LLC
- Todd Dreyer, CFPLPL Financial LLC
- Steven Beck, CFPLPL Financial LLC
- Cameron Valadez, CFPLPL Financial LLC
- Jeremy Garduno, CFPLPL Financial LLC
- Frederick HoffmanLPL Financial LLC