Katherine Bennen is a registered investment advisor at LPL Financial LLC, based in Tucson, AZ, with 21 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
Tucson, AZ
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Katherine operates Pinnacle Trail Wealth Management LLC as a DBA for her LPL business, dedicating full-time hours to this investment-related activity. She also owns rental properties and runs a travel agency, Golden Ginkgo Signature Travel, dedicating about 10-20% of her time to the latter.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Raymond James Financial Services Advisors, INC
Raymond James Financial Services, INC.Broker
Wells Fargo Advisors, LLCBroker
Wells Fargo Advisors, LLC
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Citigroup Global Markets INC.Broker
State Registrations2 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.