Chris Spencer is a registered investment advisor at LPL Financial LLC, based in San Jose, CA, 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
350 W. Julian St., Bldg. 3, San Jose, CA, 95110
Get directionsHistory
Regulatory History (1)
Customer Dispute
April 2008Other Business Activities
Chris operates under Camino Advisors as a DBA for his LPL business and dedicates nearly full-time hours to Mariner Independent Advisor Network as a registered investment advisor. Chris also has outside W-2 employment with Northern California Referees Association and owns multiple real estate rental properties, spending minimal time on each.
Employment History
Current Registrations
LPL Financial LLCBroker
Mariner Advisor Network
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Morgan Stanley
Morgan Stanley Dw INC.Broker
State Registrations8 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.