Dawn West
Dawn West is a registered investment advisor at LPL Financial LLC, based in College Point, NY, with 21 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
133-11 20th Ave, College Point, NY, 11356
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Regulatory History (1)
Customer Dispute
April 2020Other Business Activities
Dawn operates under Flagstar Wealth Services as a DBA for her LPL business. This activity is investment-related and takes place at her reported business location.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Capital One Advisors, LLC
Capital One Investing, LLCBroker
Capital One Financial Advisors LLC
Capital One Investment Services LLCBroker
Greenpoint Securities LLCBroker
State Registrations18 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.