Thomas Valdez is a registered investment advisor at LPL Financial LLC, based in Denver, CO, with 22 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
Denver, CO
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Thomas is involved with Valdez Financial LLC as a business entity for tax/investment purposes, dedicating about a quarter of his time. He also operates under the DBA Western Wealth Advisors for his LPL business, spending about half his time on this activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Strategic Advisers, INC.
Fidelity Brokerage Services LLCBroker
Commonwealth Financial NetworkBroker
Isaak Bond Investments, INC.Broker
State Registrations22 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.