Valerie Tu is a registered investment advisor at LPL Financial LLC, based in Los Gatos, CA, 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
308 N. Santa Cruz Ave, Los Gatos, CA, 95030
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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.
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Valerie co-owns rental real estate in San Jose, CA. She also works as an advisor for BMO Bank NA, dedicating about 10-20% of her time to this role.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Bancwest Investment Services, INC.Broker
Bancwest Investment Services, INC. (bwis)
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Wachovia Securities, LLC
Wachovia Securities, LLCBroker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
State Registrations1 state
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.