Neil Cain is a CFP-designated registered investment advisor at LPL Financial LLC, based in Chevy Chase, MD, with 19 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
2 Wisconsin Cir Ste 700, Chevy Chase, MD, 20815
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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 Activities
Neil is involved in several real estate rental properties and operates Capital Financial Planners and RETFED as DBAs for his LPL business. He also creates wedding and baby shower decorations and owns Capital Tax Planners, dedicating minimal time to the latter two.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Next Financial Group, INC.
Next Financial Group, INC.Broker
Householder Group, Estate & Retirement Specialists
Sagepoint Financial, INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
State Registrations41 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.