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Shaun Floresca

LPL Financial LLC
22 Years of Experience
Chicago, IL
3 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Shaun Floresca is a registered investment advisor at LPL Financial LLC, based in Chicago, IL, with 22 years of industry experience. Shaun 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
—
View Full SEC Brochure

Location

11545 W.Touhy Ave., Chicago, IL, 60666

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History

Regulatory History (3)
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
January 2024
Settled
Customer Dispute
February 2023
Settled
Judgment / Lien
February 2008
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Shaun is involved with Alliant Retirement and Investment Services, Ash Brokerage, and Insource for processing fixed annuities and insurance business, dedicating minimal time to each. He also owns rental real estate and works as an insurance agent, spending minimal time on each.

Employment History
Current Registrations
LPL Financial LLCBroker
November 2012 - Present · 13 yrs 11 mos
LPL Financial LLC
November 2012 - Present · 13 yrs 11 mos
Previous Registrations
CUNA Brokerage Services, INC.Broker
August 2009 - November 2012 · 3 yrs 3 mos
CUNA Brokerage Services, INC.
August 2009 - November 2012 · 3 yrs 3 mos
Chase Investment Services CORP.
May 2006 - July 2009 · 3 yrs 2 mos
Chase Investment Services CORP.Broker
May 2006 - July 2009 · 3 yrs 2 mos
MML Investors Services, INC.Broker
July 2005 - March 2006 · 8 mos
Merrill Lynch Pierce Fenner & Smith INC.
March 2005 - June 2005 · 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2004 - June 2005 · 8 mos
Banc One Securities CorporationBroker
March 2004 - October 2004 · 7 mos
State Registrations28 states
AZCACODCFLGAIAIDILINMIMTNCNJNMNVNYOHORPARISCTNTXUTVAWIWY
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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