Susan Dawson is a registered investment advisor at LPL Financial LLC, based in Kansas City, MO, with 18 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
118 W 47th Street, Kansas City, MO, 64112
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Susan is the owner of Triumph Financial Advisors since 2021, dedicating about a quarter of her time to trading activities. She also works as an account manager for Caption Call in Kansas, spending about 10-20% of her time on this role.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Fortune Financial Services, INC.Broker
Triumph Financial Advisors, LLC
Planmember Securities Corporation
Planmember Securities CorporationBroker
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Edward Jones
Edward JonesBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Fidelity Brokerage Services LLCBroker
Ivy Distributors, INC.Broker
Waddell & ReedBroker
Edward JonesBroker
State Registrations2 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.