Marc Stein
Marc Stein is a registered investment advisor at LPL Financial LLC, based in Purchase, NY, 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
3010 Westchester Ave Ste 200, Purchase, NY, 10577
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Regulatory History (1)
Customer Dispute
May 2012Other Business ActivitiesSells Insurance
Marc is involved in several business activities, including Gotham Corporate Solutions LLC (for tax/investment purposes), WC Hoover and Co. (primarily health insurance), KM Capital Group, Inc (DBA for LPL business), and JM Rosen and Co, LLC (insurance agency). He dedicates a few hours per week to selling life, health, disability, fixed annuities, and long-term care insurance, and minimal time to JM Rosen and Co, LLC.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Cetera Advisor Networks LLC
Cetera Advisor Networks LLCBroker
North Ridge Securities CORP.
North Ridge Securities CORP.Broker
Pruco Securities, LLC.Broker
American Capital Partners, LLCBroker
State Registrations16 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.