Caroline Leventhal is a registered investment advisor at LPL Enterprise, LLC, based in Brooklyn, NY, with 15 years of industry experience. Caroline operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
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Number of Clients
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Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
33 35th Street, Suite A410, Brooklyn, NY, 11232
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Pruco Securities, LLC.Broker
Allianz Global Investors Distributors LLCBroker
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Foreside Fund Services, LLCBroker
Schroder Fund Advisors LLCBroker
AXA Distributors, LLCBroker
State Registrations3 states
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