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Benjamin Fordham

LPL Financial LLC
23 Years of Experience
Franklin, TN
5 DisclosuresBroker
View SEC Summary
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Benjamin Fordham is a registered investment advisor at LPL Financial LLC, based in Franklin, TN, with 23 years of industry experience. Benjamin 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
—
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Location

Franklin, TN

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History

Regulatory History (5)
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
November 2022
Settled
Regulatory
December 2017
Final
Customer Dispute
May 2014
Settled
Customer Dispute
October 2013
Denied
Customer Dispute
June 2010
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Benjamin operates Fordham Investment Management as a DBA for his LPL business since 2017. He is also a co-owner of a Hotworx fitness franchise since 2021, dedicating minimal time to it.

Employment History
Current Registrations
LPL Financial LLC
June 2017 - Present · 9 yrs 4 mos
LPL Financial LLCBroker
June 2017 - Present · 9 yrs 4 mos
Previous Registrations
Raymond James Financial Services Advisors, INC
December 2013 - June 2017 · 3 yrs 6 mos
Raymond James Financial Services, INC.Broker
December 2013 - June 2017 · 3 yrs 6 mos
Fifth Third Securities, INC.Broker
January 2008 - December 2013 · 5 yrs 11 mos
Fifth Third Securities, INC.
January 2008 - December 2013 · 5 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
September 2007 - November 2007 · 2 mos
Riversource Distributors, INC.Broker
January 2007 - August 2007 · 7 mos
Ameriprise Financial Services, INC.Broker
April 2006 - January 2007 · 9 mos
Suntrust Investment Services, INC.Broker
February 2003 - February 2006 · 3 yrs
New England SecuritiesBroker
October 2002 - May 2003 · 7 mos
State Registrations6 states
ALCTGAKYOKTN
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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