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Andre Aflalo

LPL Financial LLC
23 Years of Experience
Norwalk, CT
3 DisclosuresBrokerSells Insurance
View SEC Summary
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Andre Aflalo is a registered investment advisor at LPL Financial LLC, based in Norwalk, CT, with 23 years of industry experience. Andre 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
28221 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

83 East Ave Suite 111, Norwalk, CT, 06851

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History

Regulatory History (3)
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
October 2013
Closed-No Action
Customer Dispute
February 2013
Withdrawn
Customer Dispute
April 2012
Withdrawn
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Andre is the sole owner of Andre Aflalo, LLC, a home-based business entity for tax/investment purposes, dedicating minimal time. He also works with Crump, Mass Mutual, East Avenue Capital, and East Avenue Holdings Company, LLC, spending full-time hours per month with East Avenue Capital and minimal time with East Avenue Holdings Company, LLC.

Employment History
Current Registrations
LPL Financial LLC
July 2021 - Present · 5 yrs 3 mos
LPL Financial LLCBroker
July 2021 - Present · 5 yrs 3 mos
Previous Registrations
Waddell & Reed
September 2015 - July 2021 · 5 yrs 10 mos
Waddell & ReedBroker
July 2015 - July 2021 · 6 yrs
David Lerner Associates, INC.Broker
October 2002 - July 2015 · 12 yrs 9 mos
State Registrations13 states
ALCTDCDEFLMAMINCNJNYPASCTX
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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