Mai Vu
Mai Vu is a registered investment advisor at LPL Financial LLC, based in Manhattan Beach, CA, 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
1144 N Ardmore Ave., Manhattan Beach, CA, 90266
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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
Mai operates under the DBA Independence Financial & Insurance Services Center, which is an entity for her LPL business, dedicating full-time hours. She also owns rental real estate and is involved in non-variable insurance, dedicating minimal time and a few hours per week, respectively, and is involved with a restaurant taking about a quarter of her time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
MML Investors Services, LLC
MML Investors Services, LLCBroker
State Registrations15 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.