David Neal
David Neal is a registered investment advisor at LPL Financial LLC, based in Stafford Springs, CT, 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
79 West Stafford Road, Unit 3, Stafford Springs, CT, 06076
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
David is an investment advisor representative (IAR) with Integrated Wealth Concepts, LLC since 2021, spending nearly full-time on this activity. He also acts as an agent for non-variable insurance, dedicating a few hours per week.
Employment History
Current Registrations
LPL Financial LLCBroker
Integrated Wealth Concepts LLC
Previous Registrations
Coburn & Meredith, INC.Broker
Coburn & Meredith, INC.
Morgan Stanley
Morgan StanleyBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Citigroup Global Markets INC.Broker
Tower Square Securities, INC.Broker
Advest, INC.Broker
State Registrations18 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.