Therese O'connell
Therese O'connell is a registered investment advisor at LPL Financial LLC, based in Roanoke, VA, with 20 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
4658 Brambleton Ave, Roanoke, VA, 24018
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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
Therese operates her LPL business through several DBAs, including The Capital Legacy, LLC and Formation Financial. She also sells non-variable insurance products, including permanent, term, and fixed universal life and disability insurance, dedicating about a quarter of her time to this activity.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
Great Valley Advisor Group, LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
Securities America Advisors, INC.
Securities America, INC.Broker
Capital Analysts, Incorporated
Capital Analysts, IncorporatedBroker
State Registrations27 states
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