Kathryn Ufferman
Kathryn Ufferman is a ChFC-designated registered investment advisor at LPL Financial LLC, based in New Albany, OH, 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
6530 W Campus Oval Ste 320, New Albany, OH, 43054
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Kathryn operates Maxwell Financial Management LLC as a DBA for her LPL business, dedicating nearly full-time hours to it. She also engages in non-variable insurance activities and manages Kathryn S Maxwell Ufferman LLC for tax/investment purposes, spending minimal time on each.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Fsc Securities Corporation
Fsc Securities CorporationBroker
The Lincoln National Life Insurance CompanyBroker
Lincoln Financial Advisors CorporationBroker
One Group Dealer Services, INC.Broker
State Registrations21 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.